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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 2018-11-06
WA RA APPROVED 2014-11-07
  • FL RA
    APPROVED
    Since 2018-11-06
  • WA RA
    APPROVED
    Since 2014-11-07

Branch Locations

601 Union Street, Suite 4700, Seattle, WA 98101 • 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 Seattle WA 11/2014 Present
Previous Registrations
  • 2010-11-19 → 2014-11-07
    Mcadams Wright Ragen, Inc.
    Seattle, WA
  • 1995-04-05 → 2010-11-29
    Wells Fargo Investments, Llc
    Seattle, WA
    Seattle, WA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-01-21
S63 Uniform Securities Agent State Law Examination 1984-01-24
  • S65 Uniform Investment Adviser Law Examination
    1992-01-21
  • S63 Uniform Securities Agent State Law Examination
    1984-01-24

View on SEC IAPD

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