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Detailed Report
DEBORAH LYNN ROTZ
CRD#: 2811164
IA
Investment Adviser
B
Broker
ROBERT W. BAIRD & CO. INCORPORATEDCRD#: 8158 200 PUBLIC SQUARE STE 1650
CLEVELAND, OH 44114
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2006 - 2018 (11 years)2 FIRMS2018 - Present (6 years)BCITIGROUP GLOBAL MARKETS INC. (CRD# 7059)1998 - 2006 (8 years)IACITIGROUP GLOBAL MARKETS INC. (CRD# 7059)2006 - 2006 (<1 year)
License(s)

State Registrations

B
Ohio 7/9/2018
B
South Carolina 7/9/2018
IA
Ohio 7/9/2018
IA
South Carolina 7/9/2018

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158)
200 PUBLIC SQUARE STE 1650, CLEVELAND, OH 44114
Registered with this firm since 7/9/2018
B
ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158)
200 PUBLIC SQUARE STE 1650, CLEVELAND, OH 44114
Registered with this firm since 7/9/2018
Previous Registration(s)
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IA
 08/11/2006 - 07/10/2018 UBS FINANCIAL SERVICES INC. (CRD#:8174) CLEVELAND, OH
B
 08/10/2006 - 07/10/2018 UBS FINANCIAL SERVICES INC. (CRD#:8174) WESTLAKE, OH
IA
 02/01/2006 - 08/16/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CLEVELAND, OH
B
 05/20/1998 - 08/16/2006 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) CLEVELAND, OH
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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
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.