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Registered advisor
W•••• S•• M••••••
Feed of 09/14/2026
Also filed as W•••• Sue Johnson
At current firm
1 y
since Jan 24, 2025
In the industry
24 y
since May 29, 2002 (earliest exam, job or registration)
Prior registered firms
5
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
- O•••• W•••••• I••• BD affiliated currentsince Jan 24, 2025 · Auburn, Ny
- O•••• F•• I••• formerFeb 14, 2018 to Jan 24, 2025 · Auburn, Ny
- L•• F•••••••• L•• BD affiliatedDec 17, 2013 to Mar 9, 2018 · Auburn, Ny
- C••••••• S••••••••• I••• BD affiliatedSep 1, 2011 to Dec 13, 2013 · Fayetteville, Ny
- L•• F•••••••• L•• BD affiliatedJun 14, 2010 to Sep 13, 2011 · Fort Mill, Sc
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedApr 17, 2003 to Jun 21, 2010 · Auburn, Ny
Moves
a registration end followed by a registration begin elsewhere
- O•••• F•• I••• to O•••• W•••••• I•••left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to O•••• F•• I•••left Mar 9, 2018, registered Feb 14, 2018 (-23 days) · Other
- C••••••• S••••••••• I••• to L•• F•••••••• L••left Dec 13, 2013, registered Dec 17, 2013 (4 days) · Other
- L•• F•••••••• L•• to C••••••• S••••••••• I•••left Sep 13, 2011, registered Sep 1, 2011 (-12 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••left Jun 21, 2010, registered Jun 14, 2010 (-7 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address