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Registered advisor
W•••••• S•••••• M•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as Steve M•••••
At current firm
1 y
since Oct 31, 2024
In the industry
30 y
since Jul 5, 1996 (earliest exam, job or registration)
Prior registered firms
3
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Oct 31, 2024 · Raleigh, Nc
- F•••• H•••••• A•••••••• I•• formerJan 26, 2018 to Jun 21, 2023 · Raleigh, Nc
- S••••••• I••••••••• S•••••••• I••• formerFeb 14, 2006 to Sep 17, 2007 · Greenville, Sc
- B••• I••••••••• S•••••••• I••• formerJun 5, 2002 to Feb 2, 2006 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- F•••• H•••••• A•••••••• I•• to L•• F•••••••• L••left Jun 21, 2023, registered Oct 31, 2024 (498 days) · RIA to affiliated broker-dealer or bank
- S••••••• I••••••••• S•••••••• I••• to F•••• H•••••• A•••••••• I••left Sep 17, 2007, registered Jan 26, 2018 (3784 days) · Other
- B••• I••••••••• S•••••••• I••• to S••••••• I••••••••• S•••••••• I•••left Feb 2, 2006, registered Feb 14, 2006 (12 days) · Other
Signals
- W•••••• S•••••• M••••• left F•••• H•••••• A•••••••• I•• for L•• F•••••••• L•• (registered 2024-10-31)Jun 21, 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address