R••••• E• C•••••

S•••••••• A•••••••• L••BD affiliatedSneads Ferry, Nc dual registrantIAPD 4679616

Feed of 09/15/2026

Also filed as R••••• E• C••••••••• E•••• C•••••

At current firm

2 y

since Jan 5, 2024

In the industry

19 y

since Dec 7, 2006 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A•••••••• L•• BD affiliated current
since Jan 5, 2024 · Fort Worth, Tx
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 14, 2014 to Jan 10, 2024 · Wilmington, Nc
M••••• S•••••• wirehouse
Feb 15, 2013 to Nov 19, 2014 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A•••••••• L••
left Jan 10, 2024, registered Jan 5, 2024 (-5 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 19, 2014, registered Nov 14, 2014 (-5 days) · Wirehouse to wirehouse

Signals

••• Locked
Jan 10, 2024 · 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address