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Registered advisor
D•••••• W•••••• A•••••••
Feed of 09/14/2026
Also filed as Doug A•••••••
At current firm
10 y
since Jul 6, 2016
In the industry
33 y
since Jul 2, 1993 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Jul 6, 2016 · Oxford, Ms
- S••••••• I••••••••• I••• formerMay 13, 2016 to Jun 27, 2016 · Oxford, Ms
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedOct 2, 2003 to May 13, 2016 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
- S••••••• I••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jun 27, 2016, registered Jul 6, 2016 (9 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to S••••••• I••••••••• I•••left May 13, 2016, registered May 13, 2016 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address