• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
Katherine Ann Johnson
CRD#: 6673108
IA
Investment Adviser
B
Broker
ROBERT W. BAIRD & CO. INCORPORATEDCRD#: 8158 227 WEST MONROE STREET
CHICAGO, IL 60606
Registration History
20172018201920202021202220232024202520262 FIRMS2019 - Present (5 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2017 - 2019 (1 year)IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2018 - 2019 (1 year)
License(s)

State Registrations

B
Arizona 2/24/2020

B
Missouri 2/15/2023

B
California 9/4/2019

B
Nebraska 7/10/2020

B
Colorado 5/26/2022

B
New York 9/4/2019

B
Florida 9/4/2019

B
North Carolina 2/7/2025

IA
Florida 9/5/2019

B
Ohio 2/24/2020

B
Illinois 9/4/2019

B
South Carolina 3/31/2020

IA
Illinois 9/4/2019

B
South Dakota 2/24/2020

B
Indiana 6/28/2024

B
Tennessee 6/28/2024

B
Kentucky 3/1/2022

B
Texas 2/24/2020

B
Maryland 9/4/2019

B
Virginia 7/18/2023

B
Massachusetts 5/18/2021

B
Washington 9/8/2022

B
Michigan 9/4/2019

B
Wisconsin 9/4/2019

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)
227 WEST MONROE STREET, CHICAGO, IL 60606
Naperville, IL
Registered with this firm since 9/4/2019

B
ROBERT W. BAIRD & CO. INCORPORATED (CRD#:8158)
227 WEST MONROE STREET, CHICAGO, IL 60606
Naperville, IL
Registered with this firm since 9/4/2019

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/24/2018 - 09/13/2019 UBS FINANCIAL SERVICES INC. (CRD#:8174) CHICAGO, IL
B
12/18/2017 - 09/13/2019 UBS FINANCIAL SERVICES INC. (CRD#:8174) CHICAGO, IL
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.