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Carolyn Sperry Leith

Robert W. Baird & Co. Incorporated

Raleigh, NC

Charleston, SC

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Current Employers
Robert W. Baird & Co. Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2018-10-04
ME RA APPROVED 2014-11-17
NC RA APPROVED 2010-12-03
  • TX RA
    APPROVED_RES
    Since 2018-10-04
  • ME RA
    APPROVED
    Since 2014-11-17
  • NC RA
    APPROVED
    Since 2010-12-03

Branch Locations

3600 Glenwood Avenue Suite 200, Raleigh, NC 27612 • United States

25 Calhoun Street Suite 200, Charleston, SC 29401 • 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. Raleigh NC 12/2010 Present
  • 12/2010 → Present
    Robert W. Baird & Co.
    Raleigh, NC
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-09-17
S63 Uniform Securities Agent State Law Examination 1985-10-11
  • S65 Uniform Investment Adviser Law Examination
    1991-09-17
  • S63 Uniform Securities Agent State Law Examination
    1985-10-11

View on SEC IAPD

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