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DIANE MARY GAAL
DIANE MARY MINNICH, DIANE MARY MINNITI
CRD#: 1282697
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ROBERT W. BAIRD & CO. INCORPORATEDCRD#: 8158 809 Wrights Summit Parkway, Suite 310
Ft Wright, KY 41011
Ft Wright, KY 41011
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Disclosures
40
Years of Experience
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State Registrations
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Kentucky 5/18/2007
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Ohio 5/18/2007
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Kentucky 5/18/2007
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Ohio 5/22/2007
SRO Registrations
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Registered with this firm since 5/18/2007
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Registered with this firm since 5/18/2007
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 04/02/2007 - 05/23/2007 | EDGEWOOD, KY | |
B | 04/02/2007 - 05/23/2007 | EDGEWOOD, KY | |
IA | 05/18/2004 - 04/02/2007 | EDGEWOOD, KY | |
B | 05/18/2004 - 04/02/2007 | EDGEWOOD, KY | |
IA | 12/06/2002 - 02/20/2004 | CRESTVIEW HILLS, KY | |
B | 08/12/1996 - 02/20/2004 | MILWAUKEE, WI | |
B | 03/27/1992 - 08/19/1996 | WEEHAWKEN, NJ | |
B | 07/26/1984 - 03/16/1992 | NEW YORK, NY |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.