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Registered advisor
P••• Q•••• L•
Chartered Financial Consultant
Feed of 09/15/2026
Also filed as P Q Le
At current firm
3 y
since Aug 10, 2023
In the industry
41 y
since Oct 24, 1984 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S65, 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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 10, 2023 · Hoschton, Ga
- S••••••• F•••••••• S•••••••• I••• formerApr 16, 2020 to Aug 10, 2023 · Lawrenceville, Ga
- P•••• S••••••••• L•• no RAUMMay 3, 2013 to Feb 20, 2020 · Atlanta, Ga
- H•••••• T••••••• • K•••• L•• independent RIAJun 24, 2009 to Feb 1, 2013 · Woodstock, Ga
- A••••••••• F•••••••• S•••••••• L•• national BDApr 22, 2009 to Jun 22, 2009 · Alpharetta, Ga
- E•••••••• A•••••••• L•• national BDSep 29, 2006 to Oct 15, 2008 · Atlanta, Ga
Moves
a registration end followed by a registration begin elsewhere
- S••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Aug 10, 2023, registered Aug 10, 2023 (0 days) · corporate re-registration, not a move
- P•••• S••••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Feb 20, 2020, registered Apr 16, 2020 (56 days) · Affiliated broker-dealer or bank to another · moved with a team
- H•••••• T••••••• • K•••• L•• to P•••• S••••••••• L••left Feb 1, 2013, registered May 3, 2013 (91 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to H•••••• T••••••• • K•••• L••left Jun 22, 2009, registered Jun 24, 2009 (2 days) · Other
- E•••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Oct 15, 2008, registered Apr 22, 2009 (189 days) · Affiliated broker-dealer or bank to another
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