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B••••• L••• Y•••
As of · the IAPD feed; also filed as B••••• S••••••••• Y•••
- At current firm
- 4 y
- In the industry
- 28 y
- Prior registered firms
- 2
- Signals
- 0
since Dec 8, 2021
As of · the IAPD feed; also filed as B••••• S••••••••• Y•••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Dec 8, 2021 · Charlotte, Nc
- B••• S••••••••• L•• formerJan 2, 2018 to Feb 17, 2021 · Richmond, Va
- B••• I••••••••• S•••••••• I••• formerApr 12, 2005 to Jan 2, 2018 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Dec 8, 2021 (294 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address