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Registered advisor
J•••• T•••• W•••••
Feed of 09/14/2026
At current firm
2 y
since Sep 25, 2023
In the industry
32 y
since Jan 7, 1994 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 25, 2023 · Charlotte, Nc
- A••••••••• F•••••••• S•••••••• L•• national BDMay 2, 2014 to Aug 23, 2023 · Charlotte, Nc
- M••••• S•••••• wirehouseJun 1, 2009 to May 14, 2014 · Charlotte, Nc
- M••••• S•••••• • C•• L•• unclassifiedApr 13, 2007 to Jun 1, 2009 · Charlotte, Nc
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 31, 2001 to Apr 26, 2007 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••left Aug 23, 2023, registered Sep 25, 2023 (33 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left May 14, 2014, registered May 2, 2014 (-12 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
- C•••••••• G••••• M•••••• I••• to M••••• S•••••• • C•• L••left Apr 26, 2007, registered Apr 13, 2007 (-13 days) · Other
Signals
- J•••• T•••• W••••• left A••••••••• F•••••••• S•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2023-09-25)Aug 23, 2023 · Advisor changed firm · fact
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address