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Connie Lynn Fick

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

Connie Fick is a financial professional at Robert W. Baird & Co. Incorporated, a broker-dealer with over 2,400 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

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Robert W Baird & Co 11 years, 9 months Mar 2004 - Present
ExamSeriesPassed Date
Uniform Combined State Law ExaminationSeries 66 04/20/2005
General Securities Representative ExaminationSeries 7 12/17/2004

Answers and Articles

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Top Articles

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Firm Client Types

Corporations or Other Businesses
High Net Worth Individuals
Other Investment Advisors
State or Municipal Government Entities
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

License Status

No Disclosures Found

No Disclosures Found

As of Date
*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