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Registered advisor
T••• M•••• L•••
Feed of 09/15/2026
Also filed as T••• M•••• Hicks
At current firm
7 y
since Apr 1, 2019
In the industry
33 y
since Sep 8, 1993 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- P•••• C•••••• F•••••••• mixed wealth currentsince Apr 1, 2019 · Overland Park, Ks
- L••••• I••••••••• I•• formerApr 12, 2000 to Mar 29, 2019 · Fayetteville, Ar
Moves
a registration end followed by a registration begin elsewhere
- L••••• I••••••••• I•• to P•••• C•••••• F••••••••left Mar 29, 2019, registered Apr 1, 2019 (3 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address