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Diane Mary Gaal

Robert W. Baird & Co. Incorporated

Fort Wright, KY

Cincinnati, OH

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Current Employers
Robert W. Baird & Co. Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2007-05-22
KY RA APPROVED 2007-05-18
  • OH RA
    APPROVED
    Since 2007-05-22
  • KY RA
    APPROVED
    Since 2007-05-18

Branch Locations

809 Wrights Summit Parkway Suite 310, Fort Wright, KY 41011 • United States

3805 Edwards Rd Suite 610, Cincinnati, OH 45209 • 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. Inc. Ft Wright KY 05/2007 Present
  • 05/2007 → Present
    Robert W Baird & Co. Inc.
    Ft Wright, KY
Previous Registrations
  • 2007-04-02 → 2007-05-23
    Morgan Stanley & Co. Llc
    Edgewood, KY
  • 2004-05-18 → 2007-04-02
    Morgan Stanley Dw Inc.
    Edgewood, KY
    Edgewood, KY
  • 2002-12-06 → 2004-02-20
    Robert W. Baird & Co. Incorporated
    Crestview Hills, KY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-04-26
S63 Uniform Securities Agent State Law Examination 1984-08-22
  • S65 Uniform Investment Adviser Law Examination
    1999-04-26
  • S63 Uniform Securities Agent State Law Examination
    1984-08-22
Other Names
  • Diane Mary Minnich
  • Diane Mary Minniti

View on SEC IAPD

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