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Current Employers
Robert W. Baird & Co. Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2019-10-18
TX RA APPROVED_RES 2019-10-18
  • KY RA
    APPROVED
    Since 2019-10-18
  • TX RA
    APPROVED_RES
    Since 2019-10-18

Branch Locations

100 W Main St Suite 500, Lexington, KY 40507 • 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
OrganizationCityStateFromTo
J.J.B. Hilliard, W.L. Lyons, Inc. Lexington KY 01/1992 Present
Robert W. Baird & Co. Incorporated Lexington KY 10/2019 Present
Previous Registrations
  • 2004-04-20 → 2019-10-18
    J.J.B. Hilliard, W.L. Lyons, Llc
    Lexington, KY
    Lexington, KY
Other Businesses

Name/Address: Eastwood maintenance assoc.1725 Lakewood Ln. Lexington KY 40502 Start Date: 1/15/22 Hours Spent: 0-2 hours/month Hours Spent During Trading: Zero Role/Responsibility: Treasurer; Home Owner Association Non Investment Related

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1992-05-05
  • S63 Uniform Securities Agent State Law Examination
    1992-05-05
Other Names
  • Jim Master

View on SEC IAPD

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