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Detailed Report
ANDREW WAYNE BALLARD
CRD#: 5160965
IA
Investment Adviser
B
Broker
ROBERT W. BAIRD & CO. INCORPORATEDCRD#: 8158 777 EAST WISCONSIN AVE
MILWAUKEE, WI 53202
Registration History
200620082010201220142016201820202022202420262 FIRMS2009 - 2015 (6 years)2 FIRMS2016 - Present (9 years)BRS FUNDS DISTRIBUTOR LLC (CRD# 165753)2015 - 2016 (<1 year)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)2008 - 2009 (1 year)BB. C. ZIEGLER AND COMPANY (CRD# 61)2006 - 2007 (1 year)
License(s)

State Registrations

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Alabama 1/6/2023
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Nebraska 1/6/2023
B
Alaska 1/6/2023
B
Nevada 1/6/2023
B
Arizona 1/6/2023
B
New Hampshire 1/6/2023
B
Arkansas 1/6/2023
B
New Jersey 1/6/2023
B
California 1/6/2023
B
New Mexico 1/6/2023
B
Colorado 1/6/2023
B
New York 1/6/2023
B
Connecticut 1/6/2023
B
North Carolina 1/6/2023
B
Delaware 1/6/2023
B
North Dakota 1/6/2023
B
District of Columbia 1/6/2023
B
Ohio 1/6/2023
B
Florida 1/6/2023
B
Oklahoma 1/6/2023
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Georgia 1/6/2023
B
Oregon 1/6/2023
B
Hawaii 1/6/2023
B
Pennsylvania 1/6/2023
B
Idaho 1/6/2023
B
Puerto Rico 1/6/2023
B
Illinois 1/6/2023
B
Rhode Island 1/6/2023
B
Indiana 1/6/2023
B
South Carolina 1/6/2023
B
Iowa 1/6/2023
B
South Dakota 1/6/2023
B
Kansas 1/6/2023
B
Tennessee 1/6/2023
B
Kentucky 1/6/2023
B
Texas 1/6/2023
B
Louisiana 1/6/2023
B
Utah 1/6/2023
B
Maine 1/6/2023
B
Vermont 1/6/2023
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Maryland 1/6/2023
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Virgin Islands 1/6/2023
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Massachusetts 1/6/2023
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Virginia 1/6/2023
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Michigan 1/6/2023
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Washington 1/6/2023
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Minnesota 1/6/2023
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West Virginia 1/6/2023
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Mississippi 1/6/2023
B
Wisconsin 2/1/2016
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Missouri 1/6/2023
IA
Wisconsin 2/1/2016
B
Montana 1/6/2023
B
Wyoming 1/6/2023

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)
777 EAST WISCONSIN AVE, MILWAUKEE, WI 53202
Registered with this firm since 2/1/2016
B
ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158)
777 EAST WISCONSIN AVE, MILWAUKEE, WI 53202
Registered with this firm since 2/1/2016
Previous Registration(s)
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B
 08/19/2015 - 01/20/2016 RS FUNDS DISTRIBUTOR LLC (CRD#:165753) VILLANOVA, PA
IA
 05/22/2009 - 06/30/2015 HEARTLAND ADVISORS, INC. (CRD#:29433) MILWAUKEE, WI
B
 05/12/2009 - 06/30/2015 ALPS DISTRIBUTORS, INC. (CRD#:16853) MILWAUKEE, WI
B
 04/17/2008 - 04/24/2009 RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694) MILWAUKEE, WI
B
 09/15/2006 - 10/10/2007 B. C. ZIEGLER AND COMPANY (CRD#:61) MILWAUKEE, WI
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.