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Registered advisor
D••••• M•••••• V•••••••••
Feed of 09/14/2026
Also filed as D••••• M•••••• V•••••••••
At current firm
9 y
since Oct 21, 2016
In the industry
21 y
since Nov 18, 2004 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Oct 21, 2016 · Lexington, Nc
- L•• F•••••••• L•• BD affiliatedApr 30, 2014 to Oct 20, 2016 · Charlotte, Nc
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedNov 18, 2013 to May 2, 2014 · High Point, Nc
- B••• I••••••••• S•••••••• I••• formerJun 6, 2007 to Nov 15, 2013 · Charlotte, Nc
- E••••• J•••• national BDApr 4, 2007 to May 3, 2007 · High Point, Nc
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to E••••• J••••left Oct 20, 2016, registered Oct 21, 2016 (1 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to L•• F•••••••• L••left May 2, 2014, registered Apr 30, 2014 (-2 days) · Other
- B••• I••••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 15, 2013, registered Nov 18, 2013 (3 days) · Other
- E••••• J•••• to B••• I••••••••• S•••••••• I•••left May 3, 2007, registered Jun 6, 2007 (34 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address