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T•••••• L••• C••••
As of · the IAPD feed; also filed as T•••• C••••••••• L• S••••••
- At current firm
- 12 y
- In the industry
- 35 y
- Prior registered firms
- 4
- Signals
- 0
since Oct 18, 2013
As of · the IAPD feed; also filed as T•••• C••••••••• L• S••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 18, 2013 · Southlake, Tx
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 24, 2013 · Southlake, Tx
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Southlake, Tx
- M••••• S•••••• D• I••• unclassifiedMar 4, 2005 to Apr 2, 2007 · Arlington, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 1, 2001 to Mar 31, 2005 · Southlake, Tx
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Oct 24, 2013, registered Oct 18, 2013 (-6 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to M••••• S•••••• D• I•••left Mar 31, 2005, registered Mar 4, 2005 (-27 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
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