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Detailed Report
FRANK RICHARD FRESQUEZ JR
FRANK RICHARD FRESQUEZ, FRANK RICHARD FRESUQEZ JR, FRANK RICHARD FRESUQEZ
CRD#: 6493251
IA
Investment Adviser
B
Broker
ROBERT W. BAIRD & CO. INCORPORATEDCRD#: 8158 210 UNIVERSITY BOULEVARD
Ste 800
DENVER, CO 80206
Registration History
2018201920202021202220232024202520262 FIRMS2018 - 2023 (5 years)2 FIRMS2023 - Present (1 year)
License(s)

State Registrations

B
Alabama 9/6/2023
B
Nevada 9/6/2023
B
Alaska 9/6/2023
B
New Jersey 9/6/2023
B
Arizona 9/6/2023
B
New Mexico 9/6/2023
B
California 9/6/2023
B
New York 9/6/2023
B
Colorado 9/6/2023
B
North Carolina 9/6/2023
IA
Colorado 9/6/2023
B
Ohio 9/6/2023
B
Florida 9/6/2023
B
Oklahoma 9/6/2023
B
Georgia 9/6/2023
B
Oregon 9/6/2023
B
Hawaii 9/6/2023
B
Pennsylvania 9/6/2023
B
Idaho 9/6/2023
B
South Carolina 9/6/2023
B
Illinois 9/6/2023
B
South Dakota 9/6/2023
B
Indiana 9/6/2023
B
Texas 9/6/2023
B
Iowa 9/6/2023
IA
Texas 9/6/2023
B
Kansas 9/6/2023
B
Utah 9/6/2023
B
Kentucky 9/6/2023
B
Virginia 9/6/2023
B
Maryland 9/6/2023
B
Washington 9/6/2023
B
Michigan 9/6/2023
B
West Virginia 9/6/2023
B
Minnesota 9/6/2023
B
Wisconsin 9/6/2023
B
Missouri 1/22/2025
B
Wyoming 9/6/2023
B
Nebraska 9/6/2023

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)
210 UNIVERSITY BOULEVARD Ste 800, DENVER, CO 80206
Registered with this firm since 9/6/2023
B
ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158)
210 UNIVERSITY BOULEVARD Ste 800, DENVER, CO 80206
Registered with this firm since 9/6/2023
Previous Registration(s)
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IA
 03/26/2018 - 09/21/2023 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) DENVER, CO
B
 01/24/2018 - 09/21/2023 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) DENVER, CO
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.