T••••• E••••• B••••

R•••••• J•••• • A••••••••• I•••national BDCharlotte, Ncdual registrantIAPD 4479252

Feed of 09/14/2026

Also filed as T••••• E••••• B••••••••• E••••• B•••••••• B••••

At current firm

1 y

since Mar 11, 2025

In the industry

24 y

since Mar 19, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

R•••••• J•••• • A••••••••• I••• national BD current
since Mar 11, 2025 · Charlotte, Nc
E••••• J•••• national BD
Jun 28, 2010 to Mar 12, 2025 · Waxhaw, Nc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 19, 2002 to Sep 9, 2002 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to R•••••• J•••• • A••••••••• I•••
left Mar 12, 2025, registered Mar 11, 2025 (-1 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E••••• J••••
left Sep 9, 2002, registered Jun 28, 2010 (2849 days) · Wirehouse to affiliated broker-dealer or bank

Signals

••• Locked
Mar 12, 2025 · 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: National broker-dealer RIAderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address