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Registered advisor
T••••• R••••• P••••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
Also filed as Tom R••••• P••••••
At current firm
13 y
since Jun 25, 2013
In the industry
27 y
since Sep 20, 1999 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- G••••• W••••• M••••••••• I••• BD affiliated currentsince Jun 25, 2013 · Coppell, Tx
- H•••••• T••••••• • K•••• L•• independent RIAAug 25, 2004 to Jul 3, 2013 · Addison, Tx
- N•• E•••••• S••••••••• C••••••••• formerJan 9, 2002 to Aug 20, 2004 · Dallas, Tx
Moves
a registration end followed by a registration begin elsewhere
- H•••••• T••••••• • K•••• L•• to G••••• W••••• M••••••••• I•••left Jul 3, 2013, registered Jun 25, 2013 (-8 days) · Other
- N•• E•••••• S••••••••• C••••••••• to H•••••• T••••••• • K•••• L••left Aug 20, 2004, registered Aug 25, 2004 (5 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address