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Registered advisor
T••••• A••• T•••••
Feed of 09/15/2026
Also filed as Tom T•••••
At current firm
6 y
since Jul 24, 2020
In the industry
33 y
since Jul 30, 1993 (earliest exam, job or registration)
Prior registered firms
3
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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 24, 2020 · Cincinnati, Oh
- P•• W••••• M••••••••• BD affiliatedNov 21, 2007 to Jul 30, 2020 · Cincinnati, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedNov 22, 2004 to Sep 27, 2007 · Cincinnati, Oh
- B••• O•• S••••••••• C••••••••• unclassifiedMar 21, 2003 to Apr 29, 2003 · Florence, Ky
Moves
a registration end followed by a registration begin elsewhere
- P•• W••••• M••••••••• to A••••••••• F•••••••• S•••••••• L••left Jul 30, 2020, registered Jul 24, 2020 (-6 days) · Affiliated broker-dealer or bank to another
- F•••• T•••• S••••••••• I••• to P•• W••••• M•••••••••left Sep 27, 2007, registered Nov 21, 2007 (55 days) · Other
- B••• O•• S••••••••• C••••••••• to F•••• T•••• S••••••••• I•••left Apr 29, 2003, registered Nov 22, 2004 (573 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address