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Registered advisor
D•••••••• G•••••• H•••• V•••••••••
Feed of 09/14/2026
At current firm
14 y
since Sep 19, 2012
In the industry
41 y
since Jun 3, 1985 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Sep 19, 2012 · Charlotte, Nc
- O••• W••••• A•••••••• I••• formerJul 25, 2007 to Oct 3, 2012 · Charlotte, Nc
- O••• W••••• A•••••••• I••• formerSep 8, 2005 to Aug 24, 2005 · Charlotte, Nc
- W••••••• F•••••••• S•••••••• I••• formerApr 16, 2003 to Aug 22, 2005 · Charlotte, Nc
- V••• F•••••••• A•••••••• I••• BD affiliatedDec 31, 2001 to Mar 20, 2003 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- O••• W••••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Oct 3, 2012, registered Sep 19, 2012 (-14 days) · Other
- W••••••• F•••••••• S•••••••• I••• to O••• W••••• A•••••••• I•••left Aug 22, 2005, registered Sep 8, 2005 (17 days) · Other
- V••• F•••••••• A•••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Mar 20, 2003, registered Apr 16, 2003 (27 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address