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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2024-12-10 |
| WI | RA | APPROVED | 2023-10-12 |
Branch Locations
4803 Olympia Park Plaza 4Th Floor Suite 4000, Louisville, KY 40241 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Argi | Louisville | KY | 05/2023 | 07/2023 |
| Baird | Milwaukee | WI | 10/2023 | Present |
| Education | Louisville | KY | 10/2013 | 05/2019 |
| Education | Louisville | KY | 08/2019 | 08/2023 |
Community Living Support Worker for an intellectually disabled adult. The business is not investment related. There is no address for the business, I am working with an individual through the Michelle P. Waiver. I provide him help and support with activities to support his well-being. I am a Community Living Support Worker. I began in May 2023. I do not work often with him, this is random and only when I am in Louisville, Kentucky. I worked about 15 hours with him in the past 6 months. I do not work with the individual during securities trading hours. I help him with physical support activities such as healthy eating and exercise and also get him involved in the community. Name/Address: The Rocking Horse 3710 Lexington Rd Louisville KY 40207 Start Date: 11/3/25 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Employee; Part time Non Investment Related
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2023-11-10 |
| S65 | Uniform Investment Adviser Law Examination | 2022-12-29 |
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