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Connie Lynn Fick

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Information

Other Names: Connie Fick Hubbard, Connie Lynn Fick Weber, Connie Lynn Hubbard
Firm:
Type: SEC and FINRA Registered
Description

Connie Fick is a financial professional at Robert W. Baird & Co. Incorporated, a broker-dealer with over 2,350 registered representatives nationwide. Connie has held an industry securities registration for 10 years and is subject to SEC and FINRA oversight.

Funds Used With Clients

No advisor funds listed.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Robert W Baird & Co 11 years, 6 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 Articles

0 Answers and 0 Financial Articles

Top Answers

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

Top Articles

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

Firm Client Types

Individuals
Corporations or Other Businesses
High Net Worth Individuals
Other Investment Advisors
State or Municipal Government Entities
Other
Investment Companies
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
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
02/25/2015
03/03/2015
*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

Types of Compensation Arrangements

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