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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 2022-04-07
TX RA APPROVED 2013-07-03
  • FL RA
    APPROVED
    Since 2022-04-07
  • TX RA
    APPROVED
    Since 2013-07-03

Branch Locations

945 Bunker Hill Rd Suite 300, Houston - Memorial City, TX 77024 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Robert W. Baird & Co. Incorporated Houston TX 07/2013 Present
Previous Registrations
Other Businesses

ASHCROFT MANAGEMENT; INVESTMENT RELATED; HOUSTON, TX; FAMILY PARTNERSHIP; CO-OWNER WITH SPOUSE; START DATE 2/9/09; 1 HR MONTH; 0 HRS DURING TRADING; DUTIES: MANAGER. Name/Address: EFM Interests LLC Houston TX 77001 Start Date: 1/5/21 Hours Spent: 0-2 hours/month Hours Spent During Trading: Zero Role/Responsibility: LLC Owner/Member Non Investment Related Name/Address: 7 Twisted Oak LLP, 2208 Hills Rd, Carmine, TX 78932 Start Date: 9/9/2024 Hours Spent: 0-3 per month; During Trading Hours: 0-3 Role/Responsibility: Managing Partner Investment Related

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1983-11-29
  • S63 Uniform Securities Agent State Law Examination
    1983-11-29
Designations
Other Names
  • Rick Ashcroft
  • Rick W Ashcroft

View on SEC IAPD

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