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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2022-01-27 |
| KY | RA | APPROVED | 2019-10-18 |
| TX | RA | APPROVED_RES | 2019-10-18 |
Branch Locations
4803 Olympia Park Plaza 4Th Floor Suite 4000, Louisville, KY 40241 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.J.B. Hilliard, W.L. Lyons, Llc | Louisville | KY | 04/2009 | Present |
| Robert W. Baird & Co. Incorporated | Louisville | KY | 10/2019 | Present |
1)TMLS ENTERPRISES, NON-INEVST RELATED, HOME RENTAL BUSINESS PARTNERSHIP, 50% PARTNER, 1/2005, 2.5 HRS/MONTH AND 0 DURING TRADING HRS, TRACK FINANCIALS AND REPAIR HOUSES AS NEEDED. 2)MPG-GENERAL PARTNERSHIP, NON-INVEST RELATED, A CONSOLIDATED ACCT WITH 5 MEMBER TO BY UNIV. OF LOUISVILLE SPORTS TICKETS. BY CONSOLIDATING OUR SEATS WE ARE ABLE TO GET BETTER SEAT LOCATION, BOOK KEEPER, 1 HR/MONTH AND 0 HRS DURING TRADING. 3) RM OIL INVESTMENTS LLC, NON-INVEST RELATED, LOUISVILLE KY, PASSIVE INVESTOR IN NETTLECOMBE OIL COMPANY WHICH SELLS LAND LEASES TO OIL COMPANIES--NO MGMT OR SALES ACTIVITY WITH OIL COMPANY, VP, 3/2013, 0 HRS/MONTH, 0 HRS/MONTH DURING TRADING HRS, NO SPECIFIC DUTIES. 4) Manslick LLC, not investment-related, 3 rental properties, President, 7/2016, 1 hr/month total with no hrs during trading hrs, duties include summarizing reports. Name/Address: Hummingbird Properties LLC 13000 Allison Court Goshen KY 40026 Start Date: 6/1/21 Hours Spent: 0-3 hours/month Hours Spent During Trading: Zero Role/Responsibility: LLC Owner/Member Non Investment Related Name/Address: Inlet Beach LLC 3709 Glen Bluff Road Louisville KY 40026 Start Date: 1/1/21 Hours Spent: 0-3 hours/month Hours Spent During Trading: Zero Role/Responsibility: LLC Owner/Member. Real estate. Non Investment Related Name/Address: Nashville LLC 11825 Lakestone Way Prospect KY 40059 Start Date: 12/15/21 Hours Spent: 0-3 hours/month Hours Spent During Trading: Zero Role/Responsibility: LLC Owner/Member. Real estate. Non Investment Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1995-05-01 |
| S63 | Uniform Securities Agent State Law Examination | 1995-04-20 |
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