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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2022-02-04 |
| TN | RA | APPROVED | 2019-10-18 |
| TX | RA | APPROVED_RES | 2019-10-18 |
Branch Locations
1225 E Weisgarber Rd, Ste 150, Knoxville, TN 37909 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.J.B. Hilliard, W.L. Lyons, Llc | Knoxville | TN | 03/2009 | Present |
| Robert W. Baird & Co. Incorporated | Knoxville | TN | 10/2019 | Present |
1) SUCCESSOR TRUSTEE OF LONG TIME FRIEND'S TRUST, NON-INVEST RELATED, 12/2013, 2 HRS/MONTH AND 0 HRS/MONTH DURING TRADING HRS, SUCCESSOR TRUSTEE DUTIES. 2) A School with a Church, investment-related, Fiduciary for Grantor, Investment Advisor, 0 hrs/month, Investment Advisor duties.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-01-17 |
| S63 | Uniform Securities Agent State Law Examination | 1985-09-23 |
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