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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 |
| TX | RA | APPROVED_RES | 2019-10-18 |
Branch Locations
1000 Ashland Drive Suite 305, Ashland, KY 41101 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| #Ia J. C. Bradford & Co. | Ashland | KY | 03/1983 | Present |
| J.J.B. Hilliard, W.L. Lyons, Inc. | Ashland | KY | 03/1996 | Present |
| Robert W. Baird & Co. Incorporated | Ashland | KY | 10/2019 | Present |
Name/Address: First Presbyterian Church / 1600 Winchester Ave, Ashland, KY 41101 Start Date: 01/30/1984 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Investment Committee Member, Periodically adjust church's investment allocations; raise cash when necessary; assist with stewardship campaign Investment Related Norris Irrevocable Trust,Fiduciary, manage assets, pay bills, disburse assets to beneficiairies, start date 02/11/2019, 3 hrs/mo, 0 hrs/mo trading. The Profiteers Investment Club, Partners Meet and Invest $50 each month and purchase common stocks. The club exists to provide its members the opportunity to learn about investing in stocks, to make a profit for its members, and to provide them with an opportunity for social interaction, I provide analysts reports on stocks, collect and deposit checks, enter orders when partners vote to purchase or sell stocks, and help disburse cash to departing partners, start date 11/11/1998, 1 hr/mo, 1 hr/mo trading. Name/Address: Bellefonte Country Club 208 Country Club Dr Ashland KY 41101 Start date: 1/22/20 Hours spent: 3-4 hours/month Hours spent during trading hours: 1 hour/month Role/Responsibility: Working with other board members to direct the business of the country club including the country club's financial assets and liabilities. Investment-related Name/Address: Neighbors Helping Neighbors, INC / 2516 Carter Ave, Ashland, KY 41101 Start Date: 9/1/23 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Board Member on Finance Committee Investment Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1991-09-30 |
| S63 | Uniform Securities Agent State Law Examination | 1982-09-24 |
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