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Registered advisor
W••••• H•••••• A••••
Feed of 09/14/2026
Also filed as W••••• A••••
At current firm
12 y
since Mar 27, 2014
In the industry
23 y
since Jun 19, 2003 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
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•••••• N••••••• • C••••••• I••••••••• national BD currentsince Mar 27, 2014 · Charleston, Sc
- U•• F•••••••• S••••••• I••• wirehouseJan 13, 2005 to Apr 4, 2014 · Mt. Pleasant, Sc
- P•••• S••••••••• L•• no RAUMOct 29, 2003 to Jan 19, 2005 · Mt. Pleasant, Sc
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Apr 4, 2014, registered Mar 27, 2014 (-8 days) · Wirehouse to affiliated broker-dealer or bank
- P•••• S••••••••• L•• to U•• F•••••••• S••••••• I•••left Jan 19, 2005, registered Jan 13, 2005 (-6 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address