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777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-03-01 |
| KY | RA | APPROVED | 2019-10-18 |
| TX | RA | APPROVED_RES | 2019-10-18 |
Branch Locations
2413 Ring Road Ste. 117, Elizabethtown, KY 42701 • United States
360 8Th Avenue Suite 211, Bowling Green - Park Plaza, KY 42101 • 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. | Bowling Green | KY | 03/1987 | Present |
| Robert W. Baird & Co. Incorporated | Bowling Green | KY | 10/2019 | Present |
1)04/2010-TRUSTEE ON HUSBANDS TRUST ACCOUNT. Name/Address: Trustee for Close Friend, Bowling Green KY 42103 Start date: 1-/1/2019 Hours spent: 1-5/mo Hours spent during trading Hours: 0/mo Role/Responsibility: Trustee Investment Related Name/Address: WKU Foundation, 1906 College Heights Blvd Bowling Green, KY 42103 Start date: 7/1/2019 Hours spent: 2/mo Hours spent during trading Hours: 2/mo Role/Responsibility: Attend quarterly meetings, possibly serving on investment committee Investment Related Name/Address: The Women's Fund of South Central KY, 810 College Street Bowling Green KY Start date: 11/1/2014 Hours spent: 1-5/mo Hours spent during trading Hours: 0/mo Role/Responsibility: Investment/Finance Committee Board Member Investment Related Name/Address: Albany Bancorp Inc 200 S Washington Street Albany KY 42602 Start Date: 4/28/22 Hours Spent: 0-1 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Board Member Non Investment Related Name/Address: Morgantown Bank and Trust/Deposit Bancorp, Inc 201 N Main Street Morgantown KY 42261 Start Date: 5/20/25 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Board Member Non Investment Related Name/Address: First & Farmers National Bank, 2020 South Highway 27, Somerset, KY 42503 Start Date: 4/24/2026 Hours Spent: 4-9 per month; During Trading Hours: 4-9 per month Role/Responsibility: Board Member Not Investment Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-30 |
| S63 | Uniform Securities Agent State Law Examination | 1990-09-11 |
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