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RIA Intelligence
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Registered advisor
W••••• H•••••• L••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
8 y
since Aug 14, 2018
In the industry
17 y
since Sep 22, 2008 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
4
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 Aug 14, 2018 · Germantown, Tn
- R••••••••• P•••••••• L•• independent RIAFeb 10, 2017 to Jul 25, 2018 · Memphis, Tn
- R••••• L•• independent RIAFeb 10, 2017 to Jul 25, 2018 · Memphis, Tn
- A••••••••• F•••••••• S•••••••• L•• national BDAug 22, 2013 to Feb 9, 2017 · Atlanta, Ga
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Aug 8, 2013 · Memphis, Tn
- M••••• K••••• • C••••••• L•• formerSep 23, 2008 to Feb 13, 2013 · Memphis, Tn
Moves
a registration end followed by a registration begin elsewhere
- R••••••••• P•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jul 25, 2018, registered Aug 14, 2018 (20 days) · RIA to affiliated broker-dealer or bank
- R••••• L•• to R••••••••• P•••••••• L••left Jul 25, 2018, registered Feb 10, 2017 (-530 days) · RIA to RIA
- A••••••••• F•••••••• S•••••••• L•• to R••••• L••left Feb 9, 2017, registered Feb 10, 2017 (1 days) · Affiliated broker-dealer or bank to independent RIA
- R•••••• J•••• • A••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Aug 8, 2013, registered Aug 22, 2013 (14 days) · Affiliated broker-dealer or bank to another
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
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