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Registered advisor
S•••••• M•••••• T••••
Certified Financial Planner
Feed of 09/15/2026
At current firm
4 y
since Jan 28, 2022
In the industry
19 y
since Jul 5, 2007 (earliest exam, job or registration)
Prior registered firms
9
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Jan 28, 2022 · Sarasota, Fl
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Feb 1, 2022 · Atlanta, Ga
- B••• S••••••••• L•• formerAug 6, 2018 to Feb 17, 2021 · Tampa, Fl
- T••••• A••••••• S•••••••• I••• BD affiliatedNov 10, 2016 to Aug 9, 2018 · Sarasota, Fl
- S••••••• I••••••••• S•••••••• I••• formerApr 24, 2012 to Dec 31, 2016 · Sarasota, Fl
- L•• F•••••••• L•• BD affiliatedNov 10, 2010 to Mar 6, 2012 · Sarasota, Fl
- P•• W••••• M••••••••• BD affiliatedMar 11, 2010 to Oct 14, 2010 · Boca Raton, Fl
- P•• W••••• M••••••••• BD affiliatedNov 13, 2009 to Jan 4, 2010 · Clayton, Mo
- N•••••• I••••••••• I••• unclassifiedNov 7, 2007 to Nov 13, 2009 · Clayton, Mo
- E•••••••• A•••••••• L•• national BDJul 6, 2007 to Sep 12, 2007 · Creve Coeur, Mo
Moves
a registration end followed by a registration begin elsewhere
- T••••• A••••••• S•••••••• I••• to R•• C•••••• M••••••• L••left Feb 1, 2022, registered Jan 28, 2022 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- T••••• A••••••• S•••••••• I••• to B••• S••••••••• L••left Aug 9, 2018, registered Aug 6, 2018 (-3 days) · Affiliated broker-dealer or bank to another
- S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••left Dec 31, 2016, registered Nov 10, 2016 (-51 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to S••••••• I••••••••• S•••••••• I•••left Mar 6, 2012, registered Apr 24, 2012 (49 days) · Other
- P•• W••••• M••••••••• to L•• F•••••••• L••left Oct 14, 2010, registered Nov 10, 2010 (27 days) · Other
- N•••••• I••••••••• I••• to P•• W••••• M•••••••••left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to N•••••• I••••••••• I•••left Sep 12, 2007, registered Nov 7, 2007 (56 days) · Other
Signals
- S•••••• M•••••• T•••• left T••••• A••••••• S•••••••• I••• for R•• C•••••• M••••••• L•• (registered 2022-01-28)Feb 1, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address