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Current Employers
Robert W. Baird & Co. Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-01-23
MN RA APPROVED 2018-01-22
  • TX RA
    APPROVED_RES
    Since 2018-01-23
  • MN RA
    APPROVED
    Since 2018-01-22

Branch Locations

7650 Edinborough Way Suite 300, Edina, MN 55435 • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Raymond James & Associates, Inc. Edina MN 05/2009 01/2018
Robert W Baird & Co., Incorporated Edina MN 01/2018 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-05-28
S63 Uniform Securities Agent State Law Examination 1997-07-02
  • S65 Uniform Investment Adviser Law Examination
    2015-05-28
  • S63 Uniform Securities Agent State Law Examination
    1997-07-02
Other Names
  • Shauna Ferguson
  • Shawna Joy Ferguson

View on SEC IAPD

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