Ernest Neal Cory

Current Employers

Robert W. Baird & Co. Incorporated

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

Current Registrations

Authority	Category	Status	Date
MI	RA	APPROVED	2026-04-16
TX	RA	APPROVED_RES	2020-06-22
KY	RA	APPROVED	2019-10-18

MI RA
APPROVED

Since 2026-04-16
TX RA
APPROVED_RES

Since 2020-06-22
KY RA
APPROVED

Since 2019-10-18

Branch Locations

Louisville, KY • United States

Leland, MI • United States

4803 Olympia Park Plaza 4Th Floor Suite 4000, Louisville, KY 40241 • 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

Organization	City	State	From	To
J.J.B. Hilliard, W.L. Lyons, Inc.	Louisville	KY	09/1977	Present
Robert W. Baird & Co. Incorporated	Louisville	KY	10/2019	Present

09/1977 → Present

J.J.B. Hilliard, W.L. Lyons, Inc.

Louisville, KY
10/2019 → Present

Robert W. Baird & Co. Incorporated

Louisville, KY

Previous Registrations

2004-01-07 → 2019-10-18

J.J.B. Hilliard, W.L. Lyons, Llc

Louisville, KY

Louisville, KY

Other Businesses

1) Finra Arbitrator, 1735 K street, Wasington DC 20006, start date 02/01/2018, Sit on arbitrastion panels when called, no activity so far, 20 hrs/mo, 20 hrs/mo trading

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1979-11-29

S63 Uniform Securities Agent State Law Examination

1979-11-29

Other Names

Neal Cory

View on SEC IAPD