J.J.B. Hilliard, W.L. Lyons, LLC 

KY

  SEC # 1442175

        

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112  SEC Filings   from  8/14/08  to  11/1/19  (None in the Past Year)

List All Filings	or	Filer / Offerer   Owner / Insider   Issuer / Subject Company   Filing Agent
Most-Recent Filing:		‘MA-I/A’ — Amendment to Info re: a Natural Person Who Engages in Municipal Advisory Activity — Form MA-I — Filed as:  Filer / Offerer
New-Filing E-Mail:			Send me notifications of all Filings involving  J.J.B. Hilliard, W.L. Lyons, LLC

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Forms , Documents & Exhibits  in  112 Filings  Filed as:  Filer / Offerer  or  Owner / Insider

        

Latest Filing			Type		Category	Description		Documents
11/1/19	OLD		MA-I		Registration:		Info re: Natural Persons Who Engage in Municipal Advisory Activity — Form MA-I  OLD	42
11/1/19	OLD		MA-W		Registration:		Notice of a Withdrawal from Registration by a Municipal Advisor — Form MA-W  OLD	1
8/14/19	OLD		13F-NT		Ownership:		Quarterly Holdings Notices by Money Managers — Form 13F  OLD  — Assets Under Management	45
5/12/19	OLD		MA		Registration:		Applications for Registrations by Municipal Advisors — Form MA  OLD	12
2/7/19	OLD		SC 13G		Ownership:		Statements of Acquisitions of Beneficial Ownership by “Passive” Investors — Schedule 13G  OLD	8
11/15/18	OLD		MA-A		Registration:		Annual Updates of Registrations by Municipal Advisors — Form MA  OLD	4

History as a Money Manager:  Assets Under Management  ·  Related Money Managers

As Of			Quarter (Ended)		Holdings Form 13F				Assets (Millions)		Reporting Manager Manager with whom Investment Discretion is Shared
11/14/19			9/30/19		1,031	of	2,636		$7,209		WI	Baird Financial Group, Inc.
5/1/19			3/31/19		715	of	728		$6,498		KY	HL Financial Services LLC

No Forms  nor  Documents  Filed re:  Issuer / Subject Company

        

        

Filings History

Year		# of Filings
2019		14
2018		12
2017		13
2016		19
2015		14
2014		16
2013		4
2012		4
2011		4
2010		5
2009		5
2008		2