David Howard Schwarz

Current Employers

Robert W. Baird & Co. Incorporated

777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2018-09-14
TX	RA	APPROVED_RES	2017-06-06
OH	RA	APPROVED	2011-06-17

FL RA
APPROVED

Since 2018-09-14
TX RA
APPROVED_RES

Since 2017-06-06
OH RA
APPROVED

Since 2011-06-17

Branch Locations

4215 Worth Ave Suite 200, Columbus, OH 43219 • United States

200 Public Square Ste 1650, Cleveland, OH 44114 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Robert W. Baird & Co. Inc.	Columbus	OH	06/2011	Present

06/2011 → Present

Robert W. Baird & Co. Inc.

Columbus, OH

Previous Registrations

2009-06-01 → 2011-06-28

Morgan Stanley

Columbus, OH
2003-06-09 → 2009-06-01

Citigroup Global Markets Inc.

Columbus, OH

Columbus, OH
1998-09-09 → 2003-06-13

Prudential Equity Group, Llc

Columbus, OH

Other Businesses

NAME & ADDRESS: Local Matters 731 E. Broad Street Columbus, OH 43205 NATURE OF ENTITY: Provides healthy food education, access, preparation classes to urban communities RESPONSIBILITIES IN ROLE: To review the balance sheet and income statement for Local Matters quarterly HOURS DEVOTED: 1 hour every quarter for the finance meeting and a minimal number of emails & phone conversations

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1992-01-31
S63	Uniform Securities Agent State Law Examination	1992-01-24

S65 Uniform Investment Adviser Law Examination

1992-01-31
S63 Uniform Securities Agent State Law Examination

1992-01-24

Other Names

Dave Schwarz

View on SEC IAPD