R••••• M•••• E•••••••

C••••• I••••••••• A••••••• L••BD affiliatedRaleigh, Nc dual registrantIAPD 1594289

Feed of 09/14/2026

Also filed as R••••• E•••••••

At current firm

2 y

since Feb 15, 2024

In the industry

31 y

since Feb 6, 1995 (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

C••••• I••••••••• A••••••• L•• BD affiliated current
since Feb 15, 2024 · Boca Raton, Fl
L•• F•••••••• L•• BD affiliated
May 10, 2007 to Jun 4, 2012 · Fort Mill, Sc
N•• E•••••• S••••••••• C••••••••• former
Jul 13, 2000 to May 15, 2007 · Boca Raton, Fl

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••
left Jun 4, 2012, registered Feb 15, 2024 (4273 days) · Other
N•• E•••••• S••••••••• C••••••••• to L•• F•••••••• L••
left May 15, 2007, registered May 10, 2007 (-5 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: 31derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address