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Registered advisor
R••••• E••• S•••••••••
Feed of 09/14/2026
Also filed as R••••• E••• S•••••••••
At current firm
4 y
since Nov 9, 2021
In the industry
26 y
since Nov 16, 1999 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- N••••• A•••• M••••••••• L•• mixed wealth currentsince Nov 9, 2021 · Chicago, Il
- A••••• A•• P••••••• S••••••• BD affiliatedOct 29, 2014 to Nov 9, 2021 · Charlotte, Nc
- U•• F•••••••• S••••••• I••• wirehouseDec 23, 2009 to Mar 11, 2013 · Charlotte, Nc
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 28, 2008 to Mar 18, 2009 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseJun 9, 2008 to Jul 22, 2008 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to N••••• A•••• M••••••••• L••left Nov 9, 2021, registered Nov 9, 2021 (0 days) · Other
- U•• F•••••••• S••••••• I••• to A••••• A•• P••••••• S•••••••left Mar 11, 2013, registered Oct 29, 2014 (597 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to U•• F•••••••• S••••••• I•••left Mar 18, 2009, registered Dec 23, 2009 (280 days) · Other
- W•••• F•••• A••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Jul 22, 2008, registered Jul 28, 2008 (6 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address