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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-01-03 |
| FL | RA | APPROVED | 2018-10-29 |
| AZ | RA | APPROVED | 2018-05-04 |
Branch Locations
3567 E Sunrise Dr Suite 143B, Tucson, AZ 85718 • United States
14648 N Scottsdale Rd Ste 175, Scottsdale, AZ 85254 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Tucson | AZ | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Tucson | AZ | 11/2016 | 05/2018 |
| Robert W Baird Inc | Tucson | AZ | 05/2018 | Present |
Name/Address: 44 Cat LLC 12683 N Vistoso View Place Oro Valley AZ 85755 Start Date: 9/15/23 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: LLC Owner/Member Non Investment Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-03-31 |
| S63 | Uniform Securities Agent State Law Examination | 1994-09-09 |
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