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Registered advisor
S•••• D•••• A•••••
Feed of 09/14/2026
Also filed as S•••• D• A•••••
At current firm
6 y
since Feb 11, 2020
In the industry
21 y
since Jan 24, 2005 (earliest exam, job or registration)
Prior registered firms
6
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
- W•••• F•••• A••••••• wirehouse currentsince Feb 11, 2020 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseSep 23, 2014 to Jul 16, 2019 · Charlotte, Nc
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 14, 2013 to Sep 12, 2014 · Charlotte, Nc
- S••••••••• A•••••• A•••••••• I••• formerFeb 29, 2008 to Feb 20, 2013 · La Vista, Ne
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 29, 2007 to Feb 28, 2008 · Omaha, Ne
- T• A••••••••• I••• formerJun 29, 2007 to Feb 28, 2008 · Omaha, Ne
All 6 prior registrationsShow fewer
- W•••• F•••• I••••••••• L•• unclassifiedFeb 3, 2005 to Jun 21, 2007 · Omaha, Ne
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Sep 12, 2014, registered Sep 23, 2014 (11 days) · Other
- S••••••••• A•••••• A•••••••• I••• to M•• I•••••••• S•••••••• L••left Feb 20, 2013, registered Mar 14, 2013 (22 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to S••••••••• A•••••• A•••••••• I•••left Feb 28, 2008, registered Feb 29, 2008 (1 day) · Other
- T• A••••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Feb 28, 2008, registered Feb 29, 2008 (1 day) · Other
- W•••• F•••• I••••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••left Jun 21, 2007, registered Jun 29, 2007 (8 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address