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Registered advisor
L•••• C••••••
Feed of 09/15/2026
Also filed as L•••• Wayne C••••••
At current firm
4 y
since Dec 1, 2021
In the industry
44 y
since Mar 16, 1982 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Dec 1, 2021 · Charlotte, Nc
- C•••••• F•••••••• A••••••••• I•• formerDec 31, 2001 to Dec 6, 2021 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- C•••••• F•••••••• A••••••••• I•• to W••••• E••••••••• A••••••• S•••••••• L••left Dec 6, 2021, registered Dec 1, 2021 (-5 days) · corporate re-registration, not a move
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
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address