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James Phillip Roberts

Robert W. Baird & Co. Incorporated

Evansville, IN

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Current Employers
Robert W. Baird & Co. Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2019-10-18
KY RA APPROVED 2019-10-18
  • IN RA
    APPROVED
    Since 2019-10-18
  • KY RA
    APPROVED
    Since 2019-10-18

Branch Locations

110 Main Street, Evansville, IN 47708 • 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
J.J.B. Hilliard, W.L. Lyons, Llc Louisville KY 09/2008 07/2017
Jjb Hilliard Wl Lyons Llc Louisville KY 07/2017 08/2017
J.J.B. Hilliard W L Lyons Evansville IN 08/2017 10/2018
J.J.B. Hilliard W.L. Lyons, Llc Evansville IN 10/2018 Present
Robert W. Baird & Co. Incorporated Evansville IN 10/2019 Present
  • 09/2008 → 07/2017
    J.J.B. Hilliard, W.L. Lyons, Llc
    Louisville, KY
  • 07/2017 → 08/2017
    Jjb Hilliard Wl Lyons Llc
    Louisville, KY
  • 08/2017 → 10/2018
    J.J.B. Hilliard W L Lyons
    Evansville, IN
  • 10/2018 → Present
    J.J.B. Hilliard W.L. Lyons, Llc
    Evansville, IN
  • 10/2019 → Present
    Robert W. Baird & Co. Incorporated
    Evansville, IN
Previous Registrations
  • 2008-09-17 → 2019-10-18
    J.J.B. Hilliard, W.L. Lyons, Llc
    Louisville, KY
    Louisville, KY
    Evansville, IN
  • 2005-11-18 → 2008-09-11
    Ameriprise Financial Services, Llc
    Indianapolis, IN
    Indianapolis, IN
    Indianapolis, IN
Other Businesses

Southwest Indiana Chamber of Commerce, Board member and volunteer, start date 09/22/2017, 3 hrs/mo, 1 hr/mo trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-11-17
  • S66 Uniform Combined State Law Examination
    2005-11-17
Other Names
  • Phillip Roberts

View on SEC IAPD

Other Firms

AMERIPRISE FINANCIAL SERVICES, LLC
RAYMOND JAMES & ASSOCIATES, INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
KCPAG FINANCIAL ADVISORS LLC
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
MML INVESTORS SERVICES, LLC
KOVACK ADVISORS, INC.
EDWARD JONES

Other Investors

BRANDON LEE HAYES
HEMA VYAS
KAREN MARIE LIVELY
BENJAMIN L FRANZ
Elizabeth Ann Alles
JAY DAN JACOBS
Joshua Rude
RYAN ALLEN HAYES

Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · EVANSVILLE, IN
RAYMOND JAMES & ASSOCIATES, INC. · EVANSVILLE, IN
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · EVANSVILLE, IN
KCPAG FINANCIAL ADVISORS LLC · EVANSVILLE, IN
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · EVANSVILLE, IN
MML INVESTORS SERVICES, LLC · Evansville, IN
KOVACK ADVISORS, INC. · Evansville, IN
EDWARD JONES · EVANSVILLE, IN

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