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Feed of 09/14/2026
Also filed as S•••• L•••••• B••••
At current firm
8 y
since Oct 20, 2017
In the industry
29 y
since Nov 29, 1996 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
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
- M••••• S•••••• wirehouse currentsince Oct 20, 2017 · Dallas, Tx
- R••••• W• B•••• • C•• I••••••••• mixed wealthFeb 27, 2015 to Nov 15, 2016 · Fort Worth, Tx
- U•• F•••••••• S••••••• I••• wirehouseDec 21, 2011 to Mar 10, 2015 · Ft. Worth, Tx
- B••••••• C•••••• I••• formerJan 22, 2009 to May 26, 2010 · Dallas, Tx
- L••••• B••••••• I••• unclassifiedFeb 20, 2004 to Oct 15, 2008 · Dallas, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 1, 2002 to Mar 5, 2004 · Dallas, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 27, 2000 to Aug 22, 2002 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- R••••• W• B•••• • C•• I••••••••• to M••••• S••••••left Nov 15, 2016, registered Oct 20, 2017 (339 days) · Other
- U•• F•••••••• S••••••• I••• to R••••• W• B•••• • C•• I•••••••••left Mar 10, 2015, registered Feb 27, 2015 (-11 days) · Other · moved with a team
- B••••••• C•••••• I••• to U•• F•••••••• S••••••• I•••left May 26, 2010, registered Dec 21, 2011 (574 days) · Other
- L••••• B••••••• I••• to B••••••• C•••••• I•••left Oct 15, 2008, registered Jan 22, 2009 (99 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to L••••• B••••••• I•••left Mar 5, 2004, registered Feb 20, 2004 (-14 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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address