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Registered advisor
P•••••• H••••• L•••
Certified Financial Planner
Feed of 09/14/2026
Also filed as P•••••• H••••• L•••
At current firm
2 y
since Nov 9, 2023
In the industry
31 y
since Sep 22, 1995 (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
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••••••••• F•••••••• N•••••• national BD currentsince Nov 9, 2023 · Birmingham, Al
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedAug 9, 2016 to Nov 7, 2023 · Birmingham, Al
- F•• S••••••••• C••••••••• formerFeb 2, 2005 to Aug 9, 2016 · Birmingham, Al
- S••••••••• S••••••••• L•• unclassifiedMay 7, 2004 to Jan 3, 2005 · Birmingham, Al
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••••••••• F•••••••• N••••••left Nov 7, 2023, registered Nov 9, 2023 (2 days) · Affiliated broker-dealer or bank to another · moved with a team
- F•• S••••••••• C••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 9, 2016, registered Aug 9, 2016 (0 days) · Other · moved with a team
- S••••••••• S••••••••• L•• to F•• S••••••••• C•••••••••left Jan 3, 2005, registered Feb 2, 2005 (30 days) · Other
Signals
- P•••••• H••••• L••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for C••••••••• F•••••••• N•••••• (registered 2023-11-09)Nov 7, 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
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address