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Registered advisor
A••• F•••••• S•••••
Feed of 09/14/2026
At current firm
1 y
since Sep 8, 2025
In the industry
20 y
since Feb 27, 2006 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Sep 8, 2025 · Addison, Tx
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedAug 31, 2020 to Sep 11, 2025 · Addison, Tx
- O•••• W•••••• I••• BD affiliatedNov 2, 2018 to Sep 2, 2020 · Dallas, Tx
- S••••••• I••••••••• I••• formerMar 22, 2012 to Nov 2, 2018 · Dallas, Tx
- P•••••••• S••••••••• I••• BD affiliatedNov 24, 2010 to Feb 8, 2012 · Addison, Tx
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• I••••••••• R••••••• A•••••••• I••• to L•• F•••••••• L••left Sep 11, 2025, registered Sep 8, 2025 (-3 days) · Affiliated broker-dealer or bank to another
- O•••• W•••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Sep 2, 2020, registered Aug 31, 2020 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
- P•••••••• S••••••••• I••• to S••••••• I••••••••• I•••left Feb 8, 2012, registered Mar 22, 2012 (43 days) · Other
Signals
- A••• F•••••• S••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2025-09-08)Sep 11, 2025 · Advisor changed firm · fact
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address