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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-01-21 |
| KY | RA | APPROVED | 2019-10-18 |
| TX | RA | APPROVED_RES | 2019-10-18 |
Branch Locations
4803 Olympia Park Plaza 4Th Floor Suite 4000, Louisville, KY 40241 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.J.B. Hilliard, W.L. Lyons, Inc. | Louisville | KY | 04/1982 | Present |
| Robert W. Baird & Co. Incorporated | Louisville | KY | 10/2019 | Present |
01/2011-PYRAMID INVESTMENT CLUB-SECRETARY AND BOARD MEMBER-SOCIAL ORGANIZATION THAT ALSO ACTS AS AN INVESTMENT CLUB. 600 N HURSTBOURNE PARKWAY, LOUISVILLE, KY 40222, PRESIDENT, 5 HR/MO, 5 HRS/TRADING HOURS. Name/Address: Louisville Orchestra 624 W Main Street, Suite 400 Louisville KY 40202 Start Date: 1/2/24 Hours Spent: 0-5 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Finance Chair, Finance/Investment Committee Investment Related Name/Address: Louisville Orchestra Endowment Fund / 624 W Main Street, Suite 400, Louisville, KY 40202 Start Date: Mar 18, 2024 Hours Spent: 0-5 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Ex-officio member Investment Related
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1982-08-02 |
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