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Registered advisor
S•••• S•••• W•••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/15/2026
Also filed as S•••• W•••
At current firm
13 y
since Aug 2, 2013
In the industry
29 y
since Oct 16, 1996 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- B•• P•••••••• I••• BD affiliated currentsince Aug 2, 2013 · League City, Tx
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Aug 11, 2011 · Houston, Tx
- W•••• F•••• I••••••••• L•• unclassifiedMar 22, 2006 to Jan 3, 2011 · Houston, Tx
- C••••• I••••••••• S••••••• L•• formerFeb 27, 2004 to Dec 13, 2005 · Houston, Tx
- L•• F•••••••• L•• BD affiliatedApr 29, 2003 to Mar 2, 2004 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to B•• P•••••••• I•••left Aug 11, 2011, registered Aug 2, 2013 (722 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• S••••••• L•• to W•••• F•••• I••••••••• L••left Dec 13, 2005, registered Mar 22, 2006 (99 days) · Other
- L•• F•••••••• L•• to C••••• I••••••••• S••••••• L••left Mar 2, 2004, registered Feb 27, 2004 (-4 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address