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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2018-06-28 |
| CA | RA | APPROVED | 2018-05-07 |
| AZ | RA | APPROVED | 2018-05-04 |
| TX | RA | APPROVED | 2018-05-04 |
Branch Locations
3567 E Sunrise Dr Suite 143B, Tucson, AZ 85718 • United States
14648 N Scottsdale Rd Ste 175, Scottsdale, AZ 85254 • United States
Sedona, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Tucson | AZ | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Tucson | AZ | 11/2016 | 05/2018 |
| Robert W. Baird | Tucson | AZ | 05/2018 | Present |
Name/Address: South Gate II 2440 S 34 Place Tucson AZ 85713 Start Date: 2/1/13 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: LLC Owner/Member Non Investment Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2011-03-14 |
| S63 | Uniform Securities Agent State Law Examination | 1982-03-08 |
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