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One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-04-10 |
| KY | RA | APPROVED | 2026-03-30 |
Branch Locations
297 N Hubbards Ln 2Nd & 3Rd Fl, Louisville, KY 40207 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hilliard Lyons | Louisville | KY | 09/2016 | 10/2019 |
| Robert W. Baird & Co. Incorporated | Louisville | KY | 10/2019 | 02/2021 |
| Wells Fargo Clearing Services, Llc | Louisville | KY | 05/2025 | Present |
| Unemployed | Unemployed | KY | 12/2021 | 04/2025 |
| Stock Yards Bank & Trust | Louisville | KY | 02/2021 | 11/2021 |
Blue Moon Balloon Co; Not Inv related; Louisville, KY; provides custom event decor; 50% Ownership; Start date 05/20/2022. 10 hours per month; 0 hours during trading; duties are planning, purchasing, billing, designing, and installation.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2026-03-30 |
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