Joseph Stephen Hoon

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	2017-03-13
CA	RA	APPROVED	2008-08-15

TX RA
APPROVED_RES

Since 2017-03-13
CA RA
APPROVED

Since 2008-08-15

Branch Locations

1400 Rocky Ridge Drive Suite 250, Roseville, CA 95661 • 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 No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Robert W. Baird & Co. Inc.	Sacramento	CA	08/2008	Present

08/2008 → Present

Robert W. Baird & Co. Inc.

Sacramento, CA

Previous Registrations

2003-08-18 → 2008-07-24

Banc Of America Investment Services, Inc.

San Francisco, CA

San Francisco, CA
2000-05-25 → 2003-08-20

Banc Of America Securities Llc

San Francisco, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1994-10-10
S63	Uniform Securities Agent State Law Examination	1994-09-16

S65 Uniform Investment Adviser Law Examination

1994-10-10
S63 Uniform Securities Agent State Law Examination

1994-09-16

View on SEC IAPD

Current Employers

Robert W. Baird & Co. Incorporated

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

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