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Current Employers
Robert W. Baird & Co. Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2009-10-19
  • NC RA
    APPROVED
    Since 2009-10-19

Branch Locations

4350 Congress St Suite 400, Charlotte, NC 28209 • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Robert W. Baird & Co Charlotte NC 10/2009 Present
  • 10/2009 → Present
    Robert W. Baird & Co
    Charlotte, NC
Previous Registrations
  • 2007-09-27 → 2009-09-18
    Banc Of America Investment Services, Inc.
    Columbia, SC
    Alpharetta, GA
    Charlotte, NC
  • 2006-02-23 → 2007-10-05
    Charlotte, NC
  • 2006-02-21 → 2006-02-27
    Charlotte, NC
  • 2001-12-31 → 2006-02-21
    Legg Mason Wood Walker, Incorporated
    Charlotte, NC
Other Businesses

Name/Address: Rental Property PAWLEYS ISLAND SC Start date: 5/2020 Hours spent: 0-4 hour/month Hours spent during trading hours: Zero Role/Responsibility: Owner/Proprietor, Landlord Non-Investment related

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-03-03
S63 Uniform Securities Agent State Law Examination 1981-01-08
  • S65 Uniform Investment Adviser Law Examination
    1995-03-03
  • S63 Uniform Securities Agent State Law Examination
    1981-01-08
Other Names
  • Catfish Henderson
  • Landrum Hazel Henderson

View on SEC IAPD

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