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Registered advisor
A•••• A•••• N••••
Feed of 09/15/2026
Also filed as A•••• A N••••
At current firm
8 y
since Aug 30, 2018
In the industry
20 y
since Jul 20, 2006 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Aug 30, 2018 · Charlotte, Nc
- S•••••• W••••• P•••••••• L•• BD affiliatedApr 4, 2016 to Aug 21, 2018 · Beachwood, Oh
- C•••••• S••••• • C••• I••• national BDNov 13, 2015 to Mar 29, 2016 · Richfield, Oh
- S•••••••• A••••••• L•• national BDOct 29, 2013 to Oct 23, 2015 · Westlake, Oh
- P•• W••••• M••••••••• BD affiliatedAug 27, 2010 to Aug 21, 2013 · Berea, Oh
- U•• F•••••••• S••••••• I••• wirehouseSep 30, 2008 to Jul 12, 2010 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- S•••••• W••••• P•••••••• L•• to L•• F•••••••• L••left Aug 21, 2018, registered Aug 30, 2018 (9 days) · RIA to RIA
- C•••••• S••••• • C••• I••• to S•••••• W••••• P•••••••• L••left Mar 29, 2016, registered Apr 4, 2016 (6 days) · Other
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Oct 23, 2015, registered Nov 13, 2015 (21 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to S•••••••• A••••••• L••left Aug 21, 2013, registered Oct 29, 2013 (69 days) · Other
- U•• F•••••••• S••••••• I••• to P•• W••••• M•••••••••left Jul 12, 2010, registered Aug 27, 2010 (46 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address