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Carl E Banks

Robert W. Baird & Co. Incorporated

Kent, WA

Seattle, WA

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Current Employers
Robert W. Baird & Co. Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2018-01-31
WA RA APPROVED 2014-11-07
  • FL RA
    APPROVED
    Since 2018-01-31
  • WA RA
    APPROVED
    Since 2014-11-07

Branch Locations

Kent, WA • United States

601 Union Street, Suite 4700, Seattle, WA 98101 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Robert W. Baird & Co. Incorporated Seattle WA 11/2014 Present
Previous Registrations
  • 2013-09-27 → 2014-11-07
    Mcadams Wright Ragen, Inc.
    Seattle, WA
  • 2009-06-01 → 2013-10-11
    Morgan Stanley
    Kirkland, WA
    Seattle, WA
  • 2008-03-27 → 2009-06-01
    Morgan Stanley & Co. Llc
    Bellevue, WA
  • 2008-01-01 → 2008-04-01
    Wells Fargo Clearing Services, Llc
    Seattle, WA
  • 2003-08-28 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Seattle, WA
    St. Louis, MO
    Seattle, WA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-08-25
  • S66 Uniform Combined State Law Examination
    2003-08-25

View on SEC IAPD

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