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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 2021-05-12
IN RA APPROVED 2019-10-18
TX RA APPROVED_RES 2019-10-18
  • FL RA
    APPROVED
    Since 2021-05-12
  • IN RA
    APPROVED
    Since 2019-10-18
  • TX RA
    APPROVED_RES
    Since 2019-10-18

Branch Locations

110 Main Street, Evansville, IN 47708 • 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 Yes
  • 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, Inc. Evansville IN 05/1993 Present
Robert W. Baird & Co. Incorporated Evansville IN 10/2019 Present
Previous Registrations
  • 1999-02-03 → 2019-10-18
    J.J.B. Hilliard, W.L. Lyons, Llc
    Evansville, IN
    Evansville, IN
Other Businesses

FIDUCIARY APPT FOR ROBERTA BECK, POA FOR MOTHERS HL ACCT., 2728 CANDIES LANE NW, CLEVELAND, TN 37312, START DATE 08/2016, 1 HR/MO, 1 HR/MO DURING TRADING HOURS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-08-31
S63 Uniform Securities Agent State Law Examination 1993-09-03
  • S65 Uniform Investment Adviser Law Examination
    2001-08-31
  • S63 Uniform Securities Agent State Law Examination
    1993-09-03

View on SEC IAPD

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