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Connie Lynn Fick

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Information

Other Names: Connie Fick Hubbard, Connie Lynn Hubbard
Firm:
Type: Dual Registration
Description

Connie Fick is a financial professional at Robert W. Baird & Co. Incorporated, a broker-dealer with over 2,150 registered representatives nationwide. Connie has held an industry securities registration for 9 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Robert W.Baird & Co 10 years, 4 months Mar 2004 - Present
Exams
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 04/20/2005
General Securities Representative ExaminationSeries 7 12/17/2004

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Connie Lynn Fick has not answered any questions on Financial Q&A.

Top Guides

Connie Lynn Fick has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
Business Development Companies
Other Investment Advisors
State or Municipal Government Entities
Corporations or Other Businesses
Other
Other Pooled Investment Vehicles
Investment Companies
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
High Net Worth Individuals
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
06/13/2012
02/08/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions
  • Performance-based Fees