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Current Employers
Robert W. Baird & Co. Incorporated

777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2018-09-21
OK RA APPROVED 2010-08-16
TX RA APPROVED 2010-08-12
  • FL RA
    APPROVED
    Since 2018-09-21
  • OK RA
    APPROVED
    Since 2010-08-16
  • TX RA
    APPROVED
    Since 2010-08-12

Branch Locations

8333 Douglas Ave Ste 1000, Dallas, TX 75225 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Robert W Baird & Co. Ft. Worth TX 08/2010 Present
  • 08/2010 → Present
    Robert W Baird & Co.
    Ft. Worth, TX
Previous Registrations
Other Businesses

NAME AND ADDRESS: GLADNEY CENTER FOR ADOPTION 6300 JOHN RYAN DRIVE FORT WORTH, TX 76132 NATURE OF ENTITY: ADOPTION AGENCY RESPONSIBILITIES IN YOUR ROLE: GENERAL BOARD MEMBER DUTIES AS WELL AS COMMITTEE ASSIGNMENTS ON DOMESTIC ADOPTION FROM FOSTER CARE AND FINANCIAL COMMITTEE. FINANCE COMMITTEE ONLY HELPS CREATE ANNUAL BUDGET AND INSURE PROPER CONTROLS IN PLACE BY CFO AND OTHER ADMINISTRATION. HOURS DEVOTED: 5 HOURS PER MONTH.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-06-09
S63 Uniform Securities Agent State Law Examination 1983-10-03
  • S65 Uniform Investment Adviser Law Examination
    1992-06-09
  • S63 Uniform Securities Agent State Law Examination
    1983-10-03

View on SEC IAPD

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