Individual Firm
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JAMES LAWRENCE IVEY III
BO LAWRENCE IVEY III
CRD#: 5660105
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
14
Years of Experience
View By:
State Registrations
B
Alabama 12/13/2024
B
New Jersey 10/3/2024
B
Arizona 9/25/2024
B
New York 10/18/2019
B
California 9/25/2024
B
North Carolina 12/13/2024
B
Florida 12/13/2024
B
North Dakota 10/18/2019
B
Georgia 12/13/2024
B
Ohio 12/13/2024
B
Indiana 10/18/2019
B
Oregon 9/25/2024
B
Kentucky 10/18/2019
B
Tennessee 12/13/2024
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Kentucky 10/18/2019
B
Texas 11/13/2020
B
Michigan 12/13/2024
IA
Texas 2/24/2021
B
Minnesota 9/25/2024
B
Washington 9/25/2024
B
Missouri 9/25/2024
B
Wisconsin 9/25/2024
SRO Registrations
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B
B
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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 | 01/07/2016 - 10/18/2019 | OWENSBORO, KY | |
B | 10/02/2015 - 10/18/2019 | OWENSBORO, KY | |
B | 05/17/2010 - 10/01/2015 | OWENSBORO, KY |
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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.