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Tracie Ann Legg

Robert W. Baird & Co. Incorporated

Charleston, SC

Chapel Hill, NC

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Current Employers
Robert W. Baird & Co. Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2017-10-30
NC RA APPROVED 2017-10-27
TX RA APPROVED 2017-10-27
  • FL RA
    APPROVED
    Since 2017-10-30
  • NC RA
    APPROVED
    Since 2017-10-27
  • TX RA
    APPROVED
    Since 2017-10-27

Branch Locations

25 Calhoun Street Suite 200, Charleston, SC 29401 • United States

1414 Raleigh Rd Suite 420, Chapel Hill, NC 27517 • 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
Morgan Stanley & Co. Incorporated Raleigh NC 01/2009 10/2017
Morgan Stanley Smith Barney Raleigh NC 06/2009 10/2017
Morgan Stanley Chapel Hill NC 03/2015 10/2017
Baird Chapel Hill NC 10/2017 Present
  • 01/2009 → 10/2017
    Morgan Stanley & Co. Incorporated
    Raleigh, NC
  • 06/2009 → 10/2017
    Morgan Stanley Smith Barney
    Raleigh, NC
  • 03/2015 → 10/2017
    Morgan Stanley
    Chapel Hill, NC
  • 10/2017 → Present
    Baird
    Chapel Hill, NC
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-08-12
S63 Uniform Securities Agent State Law Examination 1996-12-10
  • S65 Uniform Investment Adviser Law Examination
    1997-08-12
  • S63 Uniform Securities Agent State Law Examination
    1996-12-10
Other Names
  • Tracie Ann Sorrell
  • Tracie Ann Sorrell

View on SEC IAPD

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