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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-04-20 |
| KY | RA | APPROVED | 2019-10-18 |
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 |
|---|---|---|---|---|
| J.J.B. Hilliard, W.L. Lyons, Inc. | Louisville | KY | 03/1981 | Present |
| Robert W. Baird & Co. Incorporated | Louisville | KY | 10/2019 | Present |
1)03/2011-SERVE AS CO-TRUSTEE FOR SISTERS' TRUSTS 2)WS CORPORATION, INVESTMENT-RELATED, OWNS UPS WAREHOUSE AT BLANKENBAKER AND I-64 INTERCHANGE, REP IS PRESIDENT AND OWNS 50%, START DATE 1999, .25 HOURS DURING MONTH AND TRADING HOURS, UPS WIRES ONE PAYMENT PER MONTH TO HILLIARD ACCOUNT. 3) QFIDUCIARY APPT,LOUISE S CONRAD GST NON-EXEMPT, CO TRUSTEE. 1 HR/MO, 1HR/MO TRADING HOURS 4)WINSTEVE, LLC, PARTNER/OFFICER, START DATE 01/01/2014, LOUISVILLE,KY, OWNS LAND LEASED TO UPS FOR PARKNG SPACE, NON INVESTMENT RELATED, 1 HR/MO, 1 HR/MO TRADING HOURS. 5) WJW REALTY LLC, OWNER, OWNS AND MANAGES APARTMENTS IN KENTUCKY. 1 HR/MO, 1 HR/MO TRADING HOURS 6) CHAPEL HILL REALT LLC, OWNS APARTMENTS AT TWO LOCATIONS, START DATE 01/28/2015, 1 HR/MO, 1 HR/MO TRADING HOURS. 7) FIDUCIARY FOR SON'S ACCOUNT, START DATE 12/18/2017,CONSER-GUARDIAN. 8)Name/Address:The Prospectors 12 Mockingbird Valley Trail Louisville KY 40207 Start date: 2/24/97 Hours spent: 0-1 hour/month Hours spent during trading hours: 0-1 hour Role/Responsibility: Investment Club member and advisor on account Investment related 8)Name/Address:Twenty Investors 437 Country Lane Louisville KY 40207 Start date: 9/26/96 Hours spent: 0-1 hour/month Hours spent during trading hours: 0-1 hour Role/Responsibility: Investment Club member and advisor on account Investment related 9) Name/Address: Capital Loss Club 221 St. Matthews Ave Louisville KY 40207 Start date: 1/1/2000 Hours spent: 0-1 hour/month Hours spent during trading hours: 0-1 hour Role/Responsibility: Investment Club member Investment related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-05-21 |
| S63 | Uniform Securities Agent State Law Examination | 1987-05-29 |
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