L••••• B•••• H•••••

I•• W••••• M••••••••• L••BD affiliatedChicago, Il dual registrantIAPD 3277938

Feed of 09/14/2026

Also filed as B•••• H•••••

At current firm

7 y

since Sep 3, 2019

In the industry

26 y

since Mar 2, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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

I•• W••••• M••••••••• L•• BD affiliated current
since Sep 3, 2019 · Chicago, Il
A••••••••• F•••••••• S•••••••• L•• national BD
Mar 7, 2013 to Aug 30, 2019 · Tampa, Fl
R•••••• J•••• • A••••••••• I••• national BD
Feb 13, 2013 to Mar 8, 2013 · Tampa, Fl
M••••• K••••• • C••••••• L•• former
Nov 21, 2008 to Feb 13, 2013 · Tampa, Fl
W•••• F•••• A••••••• wirehouse
Sep 14, 2006 to Nov 4, 2008 · Tampa, Fl
A••••••••• A•••••• S•••••••• I••• unclassified
Mar 18, 2005 to Feb 2, 2006 · Tampa, Fl
A• G• E•••••• • S•••• I••• unclassified
Mar 2, 2000 to Mar 3, 2005 · Tampa, Fl

Moves

a registration end followed by a registration begin elsewhere

A••••••••• F•••••••• S•••••••• L•• to I•• W••••• M••••••••• L••
left Aug 30, 2019, registered Sep 3, 2019 (4 days) · Affiliated broker-dealer or bank to independent RIA
R•••••• J•••• • A••••••••• I••• to A••••••••• F•••••••• S•••••••• L••
left Mar 8, 2013, registered Mar 7, 2013 (-1 days) · Affiliated broker-dealer or bank to another
M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to M••••• K••••• • C••••••• L••
left Nov 4, 2008, registered Nov 21, 2008 (17 days) · Other
A••••••••• A•••••• S•••••••• I••• to W•••• F•••• A•••••••
left Feb 2, 2006, registered Sep 14, 2006 (224 days) · Other
A• G• E•••••• • S•••• I••• to A••••••••• A•••••• S•••••••• I•••
left Mar 3, 2005, registered Mar 18, 2005 (15 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address