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Registered advisor
D••••• M•••••• W••••••
Feed of 09/14/2026
At current firm
6 y
since Nov 6, 2019
In the industry
37 y
since May 17, 1989 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- L•• F•••••••• L•• BD affiliated currentsince Nov 6, 2019 · Northfield, Il
- B• R•••• W••••• M••••••••• formerJul 1, 2010 to Nov 12, 2019 · Chicago, Il
- S•••••• N••••••• • C••••••• I••••••••• national BDSep 10, 2004 to Jul 14, 2010 · Lake Forest, Il
- A• G• E•••••• • S•••• I••• unclassifiedDec 19, 2000 to Sep 17, 2004 · Lake Forest, Il
Moves
a registration end followed by a registration begin elsewhere
- B• R•••• W••••• M••••••••• to L•• F•••••••• L••left Nov 12, 2019, registered Nov 6, 2019 (-6 days) · Affiliated broker-dealer or bank to another
- S•••••• N••••••• • C••••••• I••••••••• to B• R•••• W••••• M•••••••••left Jul 14, 2010, registered Jul 1, 2010 (-13 days) · Other
- A• G• E•••••• • S•••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Sep 17, 2004, registered Sep 10, 2004 (-7 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address