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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2022-08-24 |
Branch Locations
601 Union Street, Suite 4700, Seattle, WA 98101 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Robert W. Baird & Co. Incorporated | Bellevue | WA | 11/2014 | 01/2017 |
| Rbc Capital Markets, Llc | Kirkland | WA | 01/2017 | 08/2022 |
| Robert W. Baird & Co. Incorporated | Seattle | WA | 08/2022 | Present |
AMAZON FLEX; ADDRESS: 1101 SOUTHWEST 16TH STREET, RENTON, WA 98055; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: PACKAGE DELIVERY; CAPACITY: INDEPENDENT CONTRACTOR/CONSULTANT; START DATE: 11/14/2018; DUTIES: PACKAGE DELIVERY TO ADDRESSES; HOURS DEVOTED PER MONTH: 10; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0. UBER; 1515 3rd St San Francisco CA 94158; Driver Start Date: 7/6/26 4-9 hours spent per month, 0-3 during trading hours. Non Investment related
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-05-07 |
| S63 | Uniform Securities Agent State Law Examination | 2007-04-05 |
| S65 | Uniform Investment Adviser Law Examination | 1999-02-08 |
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