D••••• G••••• C•••••••••

S•••••••• A•••••••• L••BD affiliatedSouthlake, Txdual registrantIAPD 1399640

Feed of 09/14/2026

Also filed as D••••• G••••• C•••••••

At current firm

3 y

since Mar 29, 2023

In the industry

41 y

since Aug 19, 1985 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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•••••••• L•• BD affiliated current
since Mar 29, 2023 · Southlake, Tx
M••••• S•••••• wirehouse
Dec 12, 2013 to Apr 19, 2023 · Southlake, Tx
R•• C•••••• M••••••• L•• national BD
Sep 24, 2007 to Dec 26, 2013 · Austin, Tx

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to S•••••••• A•••••••• L••
left Apr 19, 2023, registered Mar 29, 2023 (-21 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
R•• C•••••• M••••••• L•• to M••••• S••••••
left Dec 26, 2013, registered Dec 12, 2013 (-14 days) · Affiliated broker-dealer or bank to wirehouse

Signals

••• Locked
Apr 19, 2023 · Advisor changed firm · fact

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