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Feed of 09/15/2026
Also filed as Hal O•••
At current firm
8 y
since Sep 27, 2017
In the industry
38 y
since Jan 26, 1988 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
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••• L•• BD affiliated currentsince Sep 27, 2017 · Memphis, Tn
- L•• F•••••••• L•• BD affiliatedMar 7, 2001 to Sep 28, 2017 · Memphis, Tn
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C••• L••left Sep 28, 2017, registered Sep 27, 2017 (-1 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address