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Richard Lee Duval

Robert W. Baird & Co. Incorporated

Towson, MD

Sarasota, FL

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Current Employers
Robert W. Baird & Co. Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
DE RA APPROVED 2024-02-14
TX RA APPROVED_RES 2021-10-30
FL RA APPROVED 2017-06-09
MD RA APPROVED 2009-02-13
  • DE RA
    APPROVED
    Since 2024-02-14
  • TX RA
    APPROVED_RES
    Since 2021-10-30
  • FL RA
    APPROVED
    Since 2017-06-09
  • MD RA
    APPROVED
    Since 2009-02-13

Branch Locations

100 West Road Suite 200, Towson, MD 21204 • United States

2 North Tamiami Trail 1200, Sarasota, FL 34236 • 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
OrganizationCityStateFromTo
Robert W. Baird Towson MD 02/2009 Present
  • 02/2009 → Present
    Robert W. Baird
    Towson, MD
Previous Registrations
  • 2006-02-21 → 2009-03-09
    Citigroup Global Markets Inc.
    Towson, MD
    New York, NY
    Towson, MD
  • 2000-08-16 → 2006-02-21
    Legg Mason Wood Walker, Incorporated
    Towson, MD
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-07-15
S63 Uniform Securities Agent State Law Examination 1995-01-24
  • S65 Uniform Investment Adviser Law Examination
    2000-07-15
  • S63 Uniform Securities Agent State Law Examination
    1995-01-24
Other Names
  • Richard Lee Duval
  • Richard Lee Duval
  • Richard Lee Duval Jr.

View on SEC IAPD

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