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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-01-08 |
| TX | RA | APPROVED_RES | 2020-08-03 |
| KY | RA | APPROVED | 2019-10-18 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| J.J.B. Hilliard, W.L. Lyons, Inc. | Henderson | KY | 11/1987 | Present |
| Robert W. Baird & Co. Incorporated | Henderson | KY | 10/2019 | Present |
1) A WALLER LAND AND MINTERAL LLC, NOT INVESTMENT-RELATED, P O BOX 2298, EVANSVILLE, IN 47728, MANAGEMENT OF A DISPARATE GROUP OF FAMILY OWNED MINERALS SCATTERED THROUGHOUT SEVERAL STATES, 1/30TH INTEREST, START DATE 8/11/2011, 5 HOURS PER MONTH, ZERO HOURS DURING TRADING HOUSE, PURPOSE OF COMPANY IS TO PROVIDE FOR A MEANS OF NEGOTIATING MINERAL LEASES. 2) H PROPERTIES LLC, MANAGER, START DATE 02/01/2014, SIBLINGS AND I PURCHASED 26 ACRES AND 4 BUILDING LOTS FOR RESALE. 1 HR/MO, 0 HRS/MO TRADING, N INVESTMENT RELATED ACTIVITY. 3) EX DEVELOPMENT LLC, MANAGER/OWNER, REAL ESTATE PURCHASED THROUGH DISSOLVING CORPORATION, START DATE 10/07/2016, 1 HR/MO, 0 HRS/MO TRADING, NO INVESTMENT RELATED ACTIVITY. Various Rental properties, individually owned. Name/Address: Hodge Farm Development LLC 318 2nd St Henderson KY 42420 Start Date: 6/1/23 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: LLC Member Investment Related Name/Address: Rental Property 12 Riverdale Court Henderson KY 42420 Start Date: 11/19/24 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Owner Landlord Non Investment Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-10-27 |
| S63 | Uniform Securities Agent State Law Examination | 1986-10-31 |
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