Charles Alan Hawkins

Current Employers

Robert W. Baird & Co. Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-07-02
KY	RA	APPROVED	2019-10-18

TX RA
APPROVED_RES

Since 2020-07-02
KY RA
APPROVED

Since 2019-10-18

Branch Locations

4803 Olympia Park Plaza 4Th Floor Suite 4000, Louisville, KY 40241 • 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

Organization	City	State	From	To
J.J.B. Hilliard, W.L. Lyons, Inc.	Louisville	KY	02/1994	Present
Robert W. Baird & Co. Incorporated	Louisville	KY	10/2019	Present

02/1994 → Present

J.J.B. Hilliard, W.L. Lyons, Inc.

Louisville, KY
10/2019 → Present

Robert W. Baird & Co. Incorporated

Louisville, KY

Previous Registrations

2004-01-07 → 2019-10-18

J.J.B. Hilliard, W.L. Lyons, Llc

Louisville, KY

Louisville, KY

Other Businesses

Name/Address: Episcopal Diocese of Kentucky 425 S Second St, Suite 200 Louisville KY 40202 Start Date: 1/15/21 Hours Spent: 0-3 hours/month Hours Spent During Trading: Zero Role/Responsibility: Treasurer Non Investment Related

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1994-05-06

S63 Uniform Securities Agent State Law Examination

1994-05-06

Other Names

Charles Alan Hawkius
Charlie Hawkins

View on SEC IAPD