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Registered advisor
R••••• E•••• L••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as R••••• E•••• L••••••
At current firm
1 y
since Mar 31, 2025
In the industry
28 y
since Dec 10, 1997 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Durham, Nc
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 23, 2023 to Mar 31, 2025 · Durham, Nc
- C••••• I••••••••• A••••••• L•• BD affiliatedMay 21, 2018 to Jan 6, 2020 · Jackson, Ms
- A••••• A•• P••••••• S••••••• BD affiliatedMar 29, 2005 to May 1, 2017 · Charlotte, Nc
- T•••••••• T•••• C••••••• F•• unclassifiedJun 30, 2004 to Mar 29, 2005 · 211 N. Broadway, Suite 1000, Mo
- C••• B•••••••• S•••••••• I••• formerDec 31, 2001 to Sep 12, 2002 · Greensboro, 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
- C••••• I••••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 6, 2020, registered Feb 23, 2023 (1144 days) · Affiliated broker-dealer or bank to another
- A••••• A•• P••••••• S••••••• to C••••• I••••••••• A••••••• L••left May 1, 2017, registered May 21, 2018 (385 days) · Other
- T•••••••• T•••• C••••••• F•• to A••••• A•• P••••••• S•••••••left Mar 29, 2005, registered Mar 29, 2005 (0 days) · Other
- C••• B•••••••• S•••••••• I••• to T•••••••• T•••• C••••••• F••left Sep 12, 2002, registered Jun 30, 2004 (657 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address