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B••• L•• C•••••
Registered advisorat A••••••••• F•••••••• S•••••••• L••Dual registrant· Winston Salem, Nc IAPD 1052979
As of · the IAPD feed
- At current firm
- 8 y
- In the industry
- 44 y
- Prior registered firms
- 4
- Signals
- 0
since Jan 13, 2018
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 13, 2018 · Winston Salem, Nc
- W•••• F•••• A••••••• wirehouseAug 28, 2009 to Feb 7, 2018 · Greensboro, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 14, 2009 · Greensboro, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 1, 2004 to Jun 1, 2009 · Greensboro, Nc
- M••••• S•••••• D• I••• unclassifiedDec 23, 1998 to Oct 6, 2004 · Greensboro, Nc
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Feb 7, 2018, registered Jan 13, 2018 (-25 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left Sep 14, 2009, registered Aug 28, 2009 (-17 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left Oct 6, 2004, registered Oct 1, 2004 (-5 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address