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Registered advisor
S•••••• B• D• L• T••••
Feed of 09/14/2026
Also filed as S•••••• B• D• L• T••••
At current firm
5 y
since Aug 2, 2021
In the industry
34 y
since Nov 15, 1991 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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 Aug 2, 2021 · Tucson, Az
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Aug 13, 2021 · Douglas, Az
- W•••• F•••• I••••••••• L•• unclassifiedMay 12, 2009 to Jan 3, 2011 · Tucson, Az
- U•• I••••••••• I••• unclassifiedFeb 29, 2008 to Mar 26, 2009 · Phoenix, Az
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 15, 2002 to Sep 5, 2006 · Tucson, Az
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M••••• S••••••left Aug 13, 2021, registered Aug 2, 2021 (-11 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- U•• I••••••••• I••• to W•••• F•••• I••••••••• L••left Mar 26, 2009, registered May 12, 2009 (47 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to U•• I••••••••• I•••left Sep 5, 2006, registered Feb 29, 2008 (542 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address