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Registered advisor
T••••• A•••••• B•••••
Feed of 09/15/2026
Also filed as Tom A•••••• B•••••
At current firm
3 y
since Jun 29, 2023
In the industry
38 y
since Sep 28, 1987 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Baton Rouge, La
- A•••••• A••••••• S••••••• formerJan 18, 2018 to Jun 13, 2022 · Baton Rouge, La
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 21, 2011 to Jan 22, 2018 · Baton Rouge, La
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 21, 2011 · Baton Rouge, La
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Baton Rouge, La
- M••••• S•••••• D• I••• unclassifiedMay 8, 2006 to Apr 2, 2007 · Baton Rouge, La
- U•• F•••••••• S••••••• I••• wirehouseJan 6, 2005 to May 16, 2006 · Baton Rouge, La
Moves
a registration end followed by a registration begin elsewhere
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Jun 13, 2022, registered Jun 29, 2023 (381 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to A•••••• A••••••• S•••••••left Jan 22, 2018, registered Jan 18, 2018 (-4 days) · Other · moved with a team
- M••••• S•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jan 21, 2011, registered Jan 21, 2011 (0 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• D• I•••left May 16, 2006, registered May 8, 2006 (-8 days) · Other
Signals
- T••••• A•••••• B••••• left A•••••• A••••••• S••••••• for C••••• I••••••••• A••••••• L•• (registered 2023-06-29)Jun 13, 2022 · 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address