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TARA BETH ESTES
TARA B NOEL, TARA BETH NOEL, TARA BETH SIMMONS
CRD#: 3027796
IA
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ROBERT W. BAIRD & CO. INCORPORATEDCRD#: 8158 1035 Frederica St
Suite 100
Owensboro, KY 42301
Suite 100
Owensboro, KY 42301
0
Disclosures
25
Years of Experience
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State Registrations
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Colorado 10/18/2019
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Indiana 10/18/2019
B
Florida 10/18/2019
B
Kentucky 10/18/2019
B
Georgia 10/18/2019
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Kentucky 10/18/2019
B
Idaho 10/18/2019
B
Virginia 5/10/2022
B
Illinois 5/24/2022
B
Washington 10/18/2019
SRO Registrations
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Registered with this firm since 10/18/2019
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Registered with this firm since 10/18/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/26/2018 - 10/18/2019 | OWENSBORO, KY | |
B | 09/24/2010 - 10/18/2019 | OWENSBORO, KY | |
B | 07/06/2005 - 09/28/2010 | OWENSBORO, KY | |
B | 09/27/2000 - 07/06/2005 | CHICAGO, IL | |
B | 04/04/2000 - 09/19/2000 | CINCINNATI, OH | |
B | 03/17/1999 - 02/16/2000 | CHICAGO, IL |
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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.