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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2017-09-18 |
| IL | RA | APPROVED | 2017-09-15 |
| TX | RA | APPROVED | 2017-09-15 |
Branch Locations
227 West Monroe Street, Chicago, IL 60606 • United States
Siesta Key, FL • United States
Tinley Park, IL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Chicago | IL | 07/1993 | 09/2017 |
| Morgan Stanley Smith Barney | Chicago | IL | 06/2009 | 09/2017 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 09/2017 |
| Robert W Baird & Co., Incorporated | Chicago | IL | 09/2017 | Present |
Name: 402 Childers Ln 120B Michigan City IN 46360 Type: Rental property, non-investment Role: Owner Start: 10/5/18 Hours: Less than an hour per month, zero during market hours Responsibilities: Maintenance of the property has been turned over to a property management firm.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-10-27 |
| S63 | Uniform Securities Agent State Law Examination | 1993-02-08 |
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