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Registered advisor
C•••••• L•• W•••••••
Feed of 09/14/2026
Also filed as Lee W•••••••
At current firm
22 y
since Apr 6, 2004
In the industry
35 y
since Jul 9, 1991 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••••• A•••••••• L•• national BD currentsince Apr 6, 2004 · Indianapolis, In
- M•• I•••••••• S•••••••• L•• BD affiliatedNov 1, 2002 to Jul 23, 2003 · Indianapolis, In
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to E•••••••• A•••••••• L••left Jul 23, 2003, registered Apr 6, 2004 (258 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address