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Registered advisor
B•••• B•••• B•••
Feed of 09/14/2026
Also filed as B•••• B•••
At current firm
11 y
since May 18, 2015
In the industry
32 y
since May 24, 1994 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2015 · Chattanooga, Tn
- E•••••••• A•••••••• L•• national BDMar 22, 2006 to May 19, 2015 · Chattanooga, Tn
- B••• I••••••••• unclassifiedMay 7, 2004 to Dec 31, 2004 · Chattanooga, Tn
- O••••••••• S••••••••• I••• BD affiliatedJan 14, 2004 to Mar 10, 2006 · Chattnooga, Tn
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to L•• F•••••••• L••left May 19, 2015, registered May 18, 2015 (-1 days) · Other
- O••••••••• S••••••••• I••• to B••• I•••••••••left Mar 10, 2006, registered May 7, 2004 (-672 days) · Other
- B••• I••••••••• to E•••••••• A•••••••• L••left Dec 31, 2004, registered Mar 22, 2006 (446 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address