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Joseph W Gaudreau

Russell Investments

Milwaukee, WI

El Cerrito, CA

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Current Employers
Russell Investments

401 Union Street 18Th Floor, Seattle, WA 98101 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2018-12-06
WA RA APPROVED 2017-11-21
  • CA RA
    APPROVED
    Since 2018-12-06
  • WA RA
    APPROVED
    Since 2017-11-21

Branch Locations

100 E Wisconsin Ave Ste 1550, Milwaukee, WI 53202 • United States

El Cerrito, CA • 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
National Planning Corporation Denver CO 06/2016 11/2017
Russell Investments Seattle WA 11/2017 Present
  • 06/2016 → 11/2017
    National Planning Corporation
    Denver, CO
  • 11/2017 → Present
    Russell Investments
    Seattle, WA
Previous Registrations
  • 2016-08-16 → 2017-11-10
    National Planning Corporation
    Denver, CO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-07-22
S63 Uniform Securities Agent State Law Examination 2010-05-21
  • S65 Uniform Investment Adviser Law Examination
    2016-07-22
  • S63 Uniform Securities Agent State Law Examination
    2010-05-21
Other Names
  • Joe Gaudreau

View on SEC IAPD

Other Firms

ROBERT W. BAIRD & CO. INCORPORATED
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY V, LLC
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY III, LLC
BAIRD CAPITAL MANAGEMENT COMPANY, LLC
NATIONAL INVESTMENT SERVICES OF AMERICA, LLC
BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY, LLC
BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY I, LLC
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY IV, LLC

Other Investors

GREGORY BERNARD GREENHOUSE
GREGORY S PINSKY
SCOTT JOHN HANSON
MICHAEL JOSEPH GLAISNER
ADAM JOSEPH KAPUSTA
PAMELA CAIN-HENRY
LAURA MARIE HEBERT
DANIEL JOSEPH RENOUARD

Other Offices

ROBERT W. BAIRD & CO. INCORPORATED · MILWAUKEE, WI
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY V, LLC · MILWAUKEE, WI
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY III, LLC · MILWAUKEE, WI
BAIRD CAPITAL MANAGEMENT COMPANY, LLC · MILWAUKEE, WI
NATIONAL INVESTMENT SERVICES OF AMERICA, LLC · MILWAUKEE, WI
BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY, LLC · MILWAUKEE, WI
BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY I, LLC · MILWAUKEE, WI
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY IV, LLC · MILWAUKEE, WI

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