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Registered advisor
B•••• C••••••••• D•••••
Feed of 09/14/2026
Also filed as B•••• D•••••
At current firm
12 y
since Feb 19, 2014
In the industry
30 y
since Jun 7, 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
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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Feb 19, 2014 · Schaumburg, Il
- B••••••••• C•••••• M••••••••• L•• independent RIAMar 22, 2012 to Feb 27, 2014 · Wheaton, Il
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedJan 6, 2012 to Feb 24, 2012 · Oakbrook Terrace, Il
- I••••••••• A••••••• I••••••••• I••• unclassifiedDec 19, 2008 to Jan 6, 2012 · Oak Brook, Il
Moves
a registration end followed by a registration begin elsewhere
- B••••••••• C•••••• M••••••••• L•• to C••••• I••••••••• A••••••• L••left Feb 27, 2014, registered Feb 19, 2014 (-8 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to B••••••••• C•••••• M••••••••• L••left Feb 24, 2012, registered Mar 22, 2012 (27 days) · Other
- I••••••••• A••••••• I••••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Jan 6, 2012, registered Jan 6, 2012 (0 days) · corporate re-registration, not a move
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