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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2019-10-18 |
Branch Locations
500 West Jefferson St., Louisville, KY 40202 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.J.B. Hilliard, W.L. Lyons, Inc. | Louisville | KY | 07/1981 | Present |
| Robert W. Baird & Co. Incorporated | Louisville | KY | 10/2019 | Present |
Bellarmine University, Board Member, oversee endowment assets, no HL involvment, start date 01/01/2013,2001 Newburg Road, Louisville, KY 40205, 4 hrs/mo, 4 hrs/mo trading Name/Address: The Filson Historical Society 1310 South 3rd Street Louisville KY 40208 Start Date: 1/31/22 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Board Member; Investment/Finance Committee Investment Related Name/Address: Sea Island Beach Club Residences Property Owners Assoc 100 Beach Club Drivr Start Date: 1/1/23 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Board Member; Investment/Finance Committee Investment Related Name/Address: Speed Art Museum / 2035 S Third Street, Louisville, KY 40208 Start Date: 01/01/24 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Board Member and Investment Committee Member Investment Related
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1981-11-02 |
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