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Registered advisor
D••••• L••• H••••••••
Feed of 09/14/2026
Also filed as D••••• L••• H••••••••
At current firm
1 y
since Jan 24, 2025
In the industry
33 y
since Sep 8, 1993 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
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
- O•••• W•••••• I••• BD affiliated currentsince Jan 24, 2025 · Lincon, Nd
- O•••• F•• I••• formerOct 22, 2018 to Jan 24, 2025 · Lincon, Nd
- S••••••• F•••••••• S•••••••• I••• formerNov 25, 2014 to Oct 17, 2018 · Bismarck, Nd
- L•• F•••••••• L•• BD affiliatedSep 29, 2014 to Nov 13, 2014 · Bismarck, Nd
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Sep 23, 2014 · Bismark, Nd
- C••••• I••••••••• S••••••• L•• formerAug 8, 2005 to Jan 21, 2014 · Bismark, Nd
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 8, 1993 to Aug 8, 2005 · Bismarck, Nd
Moves
a registration end followed by a registration begin elsewhere
- O•••• F•• I••• to O•••• W•••••• I•••left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
- S••••••• F•••••••• S•••••••• I••• to O•••• F•• I•••left Oct 17, 2018, registered Oct 22, 2018 (5 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Nov 13, 2014, registered Nov 25, 2014 (12 days) · Other
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Sep 23, 2014, registered Sep 29, 2014 (6 days) · Other
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to C••••• I••••••••• S••••••• L••left Aug 8, 2005, registered Aug 8, 2005 (0 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
- 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