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Registered advisor
N••••••• L••• E••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as Nick L••• E••••
At current firm
0 y
since Jul 17, 2026
In the industry
21 y
since Oct 12, 2004 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
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
- A••• A••••••• P••••••• BD affiliated currentsince Jul 17, 2026 · Houston, Tx
- U••• C•••••• W••••• A•••••••• L•• BD affiliatedJun 30, 2021 to Jul 21, 2026 · Austin, Tx
- U••• R•• L•• formerJun 13, 2014 to Jun 30, 2021 · Houston, Tx
- U•• F•••••••• S••••••• I••• wirehouseJun 7, 2007 to Jun 5, 2014 · Houston, Tx
- R•• C•••••• M••••••• L•• national BDOct 13, 2004 to Jun 21, 2007 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- U••• C•••••• W••••• A•••••••• L•• to A••• A••••••• P•••••••left Jul 21, 2026, registered Jul 17, 2026 (-4 days) · corporate re-registration, not a move
- U••• R•• L•• to U••• C•••••• W••••• A•••••••• L••left Jun 30, 2021, registered Jun 30, 2021 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to U••• R•• L••left Jun 5, 2014, registered Jun 13, 2014 (8 days) · Other
- R•• C•••••• M••••••• L•• to U•• F•••••••• S••••••• I•••left Jun 21, 2007, registered Jun 7, 2007 (-14 days) · Affiliated broker-dealer or bank to wirehouse
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address