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Registered advisor
M•••••• D• T••••••
Feed of 09/14/2026
Also filed as M•••••• Dawn Almond
At current firm
1 y
since Mar 31, 2025
In the industry
27 y
since Oct 21, 1998 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Indian Land, Sc
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 31, 2023 to Mar 31, 2025 · Charlotte, Nc
- N•••••• A••••••• BD affiliatedNov 2, 2021 to Dec 22, 2022 · New Orleans, La
- L•• F•••••••• L•• BD affiliatedNov 1, 2021 to Nov 1, 2021 · High Point, Nc
- W•••• F•••• A••••••• wirehouseNov 30, 2005 to Nov 11, 2021 · Charlotte, Nc
- S••••••• I••••••••• S•••••••• I••• formerNov 7, 2005 to Nov 25, 2005 · Salisbury, Nc
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- N•••••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Dec 22, 2022, registered Mar 31, 2023 (99 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to L•• F•••••••• L••left Nov 11, 2021, registered Nov 1, 2021 (-10 days) · Wirehouse to affiliated broker-dealer or bank
- L•• F•••••••• L•• to N•••••• A•••••••left Nov 1, 2021, registered Nov 2, 2021 (1 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Nov 25, 2005, registered Nov 30, 2005 (5 days) · Other
Signals
- M•••••• D• T•••••• left N•••••• A••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-03-31)Dec 22, 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address