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Registered advisor
L••••• C•••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
15 y
since Jan 5, 2011
In the industry
18 y
since Jan 29, 2008 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
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
- T•• C••••• A••••••• G••••• L•• state registered currentsince Jan 5, 2011 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jul 7, 2010 · Chicago, Il
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 24, 2008 to Oct 23, 2009 · Chicago, Il
- L•••••• F•••••••• S•••••••• I••• unclassifiedOct 16, 2008 to Oct 24, 2008 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T•• C••••• A••••••• G••••• L••left Jul 7, 2010, registered Jan 5, 2011 (182 days) · Wirehouse to a state-registered adviser
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- L•••••• F•••••••• S•••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 24, 2008, registered Oct 24, 2008 (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
- STATE REGISTEREDderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address