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T•••• A•• W•••••
As of · the IAPD feed; also filed as T•••• A•• O••••••
- At current firm
- 10 y
- In the industry
- 20 y
- Prior registered firms
- 4
- Signals
- 0
since Sep 9, 2016
As of · the IAPD feed; also filed as T•••• A•• O••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Sep 9, 2016 · Chapel Hill, Nc
- E•••••••• A•••••••• L•• national BDFeb 17, 2012 to Feb 26, 2013 · Chapel Hill, Nc
- R•• C•••••• M••••••• L•• national BDSep 18, 2008 to Nov 28, 2011 · Raleigh, Nc
- S••••••• I••••••••• S•••••••• I••• formerFeb 22, 2008 to Sep 17, 2008 · Durham, Nc
- W•••• F•••• A••••••• wirehouseJul 18, 2006 to Feb 8, 2008 · Durham, Nc
Moves
a registration end followed by a registration begin elsewhere
- E•••••••• A•••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 26, 2013, registered Sep 9, 2016 (1291 days) · Affiliated broker-dealer or bank to a newly registered adviser
- R•• C•••••• M••••••• L•• to E•••••••• A•••••••• L••left Nov 28, 2011, registered Feb 17, 2012 (81 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• S•••••••• I••• to R•• C•••••• M••••••• L••left Sep 17, 2008, registered Sep 18, 2008 (1 day) · Other
- W•••• F•••• A••••••• to S••••••• I••••••••• S•••••••• I•••left Feb 8, 2008, registered Feb 22, 2008 (14 days) · Other
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address