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Registered advisor
D•••• M••••• T•••••
Feed of 09/14/2026
Also filed as Dave T•••••
At current firm
2 y
since Jun 14, 2024
In the industry
30 y
since Jan 26, 1996 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
5
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
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Glastonbury, Ct
- S••••••••• A•••••• A•••••••• I••• formerJul 17, 2020 to Jun 14, 2024 · Glastonbury, Ct
- I••••••••• A••••••• S••••••• I•• formerSep 8, 2015 to Jul 17, 2020 · Glastonbury, Ct
- I••••• F•••••••• C••••••••• formerAug 30, 2007 to Sep 10, 2015 · Glastonbury, Ct
- S••••••••• A•••••• A•••••••• I••• formerSep 10, 2002 to Aug 30, 2007 · Glastonbury, Ct
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- I••••••••• A••••••• S••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Jul 17, 2020, registered Jul 17, 2020 (0 days) · corporate re-registration, not a move
- I••••• F•••••••• C••••••••• to I••••••••• A••••••• S••••••• I••left Sep 10, 2015, registered Sep 8, 2015 (-2 days) · Other · moved with a team
- S••••••••• A•••••• A•••••••• I••• to I••••• F•••••••• C•••••••••left Aug 30, 2007, registered Aug 30, 2007 (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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address