H••••• L••••• W•••••••••

S••••• A••••••• I•••BD affiliatedBirmingham, Al dual registrantIAPD 1277248

Feed of 09/14/2026

Also filed as H••••• L••••• W••••••••• L••••• W•••••••••

At current firm

10 y

since Jun 30, 2016

In the industry

42 y

since Jun 28, 1984 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S••••• A••••••• I••• BD affiliated current
since Jun 30, 2016 · Louisville, Ky
S••••• A••• A•••• M••••••••• I••• former
Mar 11, 2005 to Jun 30, 2016 · Birmingham, Al
U•• F•••••••• S••••••• I••• wirehouse
Dec 22, 1998 to Apr 14, 2003 · Louisville, Ky

Moves

a registration end followed by a registration begin elsewhere

S••••• A••• A•••• M••••••••• I••• to S••••• A••••••• I•••
left Jun 30, 2016, registered Jun 30, 2016 (0 days) · corporate re-registration, not a move
U•• F•••••••• S••••••• I••• to S••••• A••• A•••• M••••••••• I•••
left Apr 14, 2003, registered Mar 11, 2005 (697 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: 42derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address