C••••••• D• B••••

E•••••••• A•••••••• L••national BDFalls Church, Va dual registrantIAPD 3067534

Feed of 09/14/2026

Also filed as C••••••• D Smith

At current firm

9 y

since Feb 16, 2017

In the industry

27 y

since Mar 15, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••••••• A•••••••• L•• national BD current
since Feb 16, 2017 · Hephzibah, Ga
L•• F•••••••• L•• BD affiliated
May 27, 2010 to Nov 30, 2016 · Reston, Va
E•••••••• A•••••••• L•• national BD
Apr 5, 2007 to Feb 22, 2010 · Falls Church, Va
F•••• H•••••• A•••••••• I•• former
Oct 16, 2006 to Jan 3, 2007 · Fairfax, Va

Moves

a registration end followed by a registration begin elsewhere

L•• F•••••••• L•• to E•••••••• A•••••••• L••
left Nov 30, 2016, registered Feb 16, 2017 (78 days) · Other
E•••••••• A•••••••• L•• to L•• F•••••••• L••
left Feb 22, 2010, registered May 27, 2010 (94 days) · Other
F•••• H•••••• A•••••••• I•• to E•••••••• A•••••••• L••
left Jan 3, 2007, registered Apr 5, 2007 (92 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: National broker-dealer RIAderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address