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Registered advisor
W•••• A• W••••
Feed of 09/15/2026
Also filed as W•••• Alan W••••
At current firm
1 y
since Mar 31, 2025
In the industry
26 y
since Jun 22, 2000 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Parker, Co
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDApr 10, 2015 to Jul 13, 2018 · Greenwood Village, Co
- U••• F•••••••• P••••••• S••••••• formerAug 25, 2010 to Mar 12, 2014 · Colorado Springs, Co
- C•••• I••••••••• S••••••• C•••• formerNov 19, 2007 to Feb 4, 2009 · Colorado Springs, Co
- V•••• F•••••••• A•••••••• I••• BD affiliatedFeb 16, 2006 to Jul 3, 2006 · Lakewood, Co
- C•••• I••••••••• S••••••• C•••• formerJul 6, 2005 to Feb 14, 2006 · Colorado Springs, Co
- B••• O•• S••••••••• C••••••••• unclassifiedApr 6, 2005 to Jul 6, 2005 · Peoria, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 7, 2002 to Aug 18, 2004 · Sun City, Az
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- U••• F•••••••• P••••••• S••••••• to S•••••••• A••••••• L••left Mar 12, 2014, registered Apr 10, 2015 (394 days) · Other
- C•••• I••••••••• S••••••• C•••• to U••• F•••••••• P••••••• S•••••••left Feb 4, 2009, registered Aug 25, 2010 (567 days) · Other
- V•••• F•••••••• A•••••••• I••• to C•••• I••••••••• S••••••• C••••left Jul 3, 2006, registered Nov 19, 2007 (504 days) · Other
- C•••• I••••••••• S••••••• C•••• to V•••• F•••••••• A•••••••• I•••left Feb 14, 2006, registered Feb 16, 2006 (2 days) · Other
- B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jul 6, 2005, registered Jul 6, 2005 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••• O•• S••••••••• C•••••••••left Aug 18, 2004, registered Apr 6, 2005 (231 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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address