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Registered advisor
S••• L••• H••
Feed of 09/14/2026
Also filed as S••• L••• Bess
At current firm
4 y
since Jun 6, 2022
In the industry
23 y
since Apr 2, 2003 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jun 6, 2022 · Nashville, Tn
- B• R•••• W••••• M••••••••• formerApr 12, 2022 to May 24, 2022 · Nashville, Tn
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedAug 13, 2020 to Apr 12, 2022 · Nashville, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 11, 2017 to Mar 18, 2019 · Nashville, Tn
- U•• F•••••••• S••••••• I••• wirehouseNov 17, 2009 to Dec 7, 2017 · Nashville, Tn
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 2, 2003 to Aug 31, 2004 · Nashville, Tn
Moves
a registration end followed by a registration begin elsewhere
- B• R•••• W••••• M••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 24, 2022, registered Jun 6, 2022 (13 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to B• R•••• W••••• M•••••••••left Apr 12, 2022, registered Apr 12, 2022 (0 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 18, 2019, registered Aug 13, 2020 (514 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 7, 2017, registered Dec 11, 2017 (4 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Aug 31, 2004, registered Nov 17, 2009 (1904 days) · Wirehouse to wirehouse
Signals
- S••• L••• H•• left B• R•••• W••••• M••••••••• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2022-06-06)May 24, 2022 · Advisor changed firm · fact
- S••• L••• H•• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for B• R•••• W••••• M••••••••• (registered 2022-04-12)Apr 12, 2022 · Advisor changed firm · fact
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address