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Registered advisor
C••••• S•••• L••••
Feed of 09/14/2026
Also filed as C••••• S•••• L••••
At current firm
11 y
since Apr 1, 2015
In the industry
17 y
since May 26, 2009 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
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••••••••• F•••••••• S•••••••• L•• national BD currentsince Apr 1, 2015 · Murphy, Nc
- S••••••••• A•••••• A•••••••• I••• formerSep 18, 2013 to Feb 16, 2015 · Hayesville, Nc
- E••••• J•••• national BDSep 24, 2010 to Sep 19, 2013 · Hayesville, Nc
- L•• F•••••••• L•• BD affiliatedMay 27, 2009 to Sep 14, 2010 · Fort Mill, Sc
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Feb 16, 2015, registered Apr 1, 2015 (44 days) · Other
- E••••• J•••• to S••••••••• A•••••• A•••••••• I•••left Sep 19, 2013, registered Sep 18, 2013 (-1 days) · Other
- L•• F•••••••• L•• to E••••• J••••left Sep 14, 2010, registered Sep 24, 2010 (10 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
- National broker-dealer RIAderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address