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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-06-14 |
| IN | RA | APPROVED | 2019-10-18 |
| TX | RA | APPROVED_RES | 2019-10-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.J.B. Hilliard W.L. Lyons, Llc | Evansville | IN | 10/2012 | Present |
| Robert W. Baird & Co. Incorporated | Evansville | IN | 10/2019 | Present |
1)YMCA OF SOUTHWESTERN INDIANA, NON-INVEST RELATED, 222 NW 6TH ST EVANSVILLE IN 47708, CIVIC BOARD, BOARD MEMBER, 12/2013, 1.5 HRS/MONTH AND DURING TRADING HRS, DUTIES INCLUDE ATTENDING MONTHLY BOARD MEETINGS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-06-09 |
| S63 | Uniform Securities Agent State Law Examination | 1982-09-28 |
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