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Registered advisor
D•• W•••••• L•••••••
Feed of 09/14/2026
Also filed as Dow W L•••••••
At current firm
12 y
since Feb 11, 2014
In the industry
21 y
since Nov 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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Feb 11, 2014 · Greenville, Pa
- O•••• I••••••••• I••• BD affiliatedOct 18, 2011 to Jan 7, 2014 · Montursville, Pa
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedSep 18, 2009 to Oct 20, 2011 · Sandy Lake, Pa
- H••••••••• F•••••••• A••••••• BD affiliatedAug 1, 2007 to Sep 2, 2009 · Hermitage, Pa
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerSep 9, 2005 to Aug 1, 2007 · Monroeville, Pa
Moves
a registration end followed by a registration begin elsewhere
- O•••• I••••••••• I••• to C••••• I••••••••• A••••••• L••left Jan 7, 2014, registered Feb 11, 2014 (35 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to O•••• I••••••••• I•••left Oct 20, 2011, registered Oct 18, 2011 (-2 days) · Other
- H••••••••• F•••••••• A••••••• to U•••• F•••••••• S••••••• G••••• I•••left Sep 2, 2009, registered Sep 18, 2009 (16 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to H••••••••• F•••••••• A•••••••left Aug 1, 2007, registered Aug 1, 2007 (0 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
- 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