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Registered advisor
S••••• L•••• W•••••
Feed of 09/14/2026
Also filed as S•••• W•••••
At current firm
18 y
since May 2, 2008
In the industry
40 y
since Jun 1, 1986 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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••••••••• R••••••• A•••••••• I••• BD affiliated currentsince May 2, 2008 · Sugar Land, Tx
- V•••• F•••••••• A•••••••• I••• BD affiliatedAug 27, 2003 to May 19, 2008 · Galveston, Tx
Moves
a registration end followed by a registration begin elsewhere
- V•••• F•••••••• A•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 19, 2008, registered May 2, 2008 (-17 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address