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Current Employers
Robert W. Baird & Co. Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-01-06
WA RA APPROVED 2014-11-07
  • TX RA
    APPROVED_RES
    Since 2021-01-06
  • WA RA
    APPROVED
    Since 2014-11-07

Branch Locations

3907 Castlevale Rd Suite 100, Yakima, WA 98902 • 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 Yakima WA 11/2014 Present
Previous Registrations
Other Businesses

NAME & ADDRESS: LaSalle High School of Yakima Foundation 3000 Lightning Way Union Gap, WA 98903 NATURE OF ENTITY: Foundation supporting local Catholic High School RESPONSIBILITIES IN ROLE: Attend six meetings, support school financially and with time/talent...this includes periodic monetary contributions and also sitting on the Foundation's investment committee HOURS DEVOTED: 2 hours/month

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-04-06
S63 Uniform Securities Agent State Law Examination 1993-03-19
  • S65 Uniform Investment Adviser Law Examination
    1993-04-06
  • S63 Uniform Securities Agent State Law Examination
    1993-03-19
Other Names
  • Daniel J Sullivan

View on SEC IAPD

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