Best Investors Account Sign in
Current Employers
Robert W. Baird & Co. Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-01-18
WA RA APPROVED 2014-11-07
  • TX RA
    APPROVED_RES
    Since 2017-01-18
  • WA RA
    APPROVED
    Since 2014-11-07

Branch Locations

601 Union Street, Suite 4700, Seattle, WA 98101 • United States

Seattle, WA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Robert W. Baird & Co. Incorporated Seattle WA 11/2014 Present
Previous Registrations
  • 2010-11-29 → 2014-11-07
    Mcadams Wright Ragen, Inc.
    Seattle, WA
  • 1998-06-11 → 2010-12-06
    Wells Fargo Investments, Llc
    Seattle, WA
    Seattle, WA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-04-17
S63 Uniform Securities Agent State Law Examination 1987-02-17
  • S65 Uniform Investment Adviser Law Examination
    1998-04-17
  • S63 Uniform Securities Agent State Law Examination
    1987-02-17

View on SEC IAPD

More in Seattle, WA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor