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Registered advisor
C•••• L••••• S•••••
Feed of 09/14/2026
Also filed as C•••• L••••• S•••••
At current firm
13 y
since Apr 30, 2013
In the industry
18 y
since Nov 24, 2007 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- R••••• W• B•••• • C•• I••••••••• mixed wealth currentsince Apr 30, 2013 · Milwaukee, Wi
- W••••••• F•••••••• S•••••••• I••• formerAug 6, 2012 to May 3, 2013 · West Bend, Wi
- E•••••••• A•••••••• L•• national BDFeb 4, 2011 to Oct 7, 2011 · Milwaukee, Wi
- E••••• D••••• A•••••••• L•• unclassifiedFeb 5, 2008 to Mar 31, 2011 · Wausau, Wi
Moves
a registration end followed by a registration begin elsewhere
- W••••••• F•••••••• S•••••••• I••• to R••••• W• B•••• • C•• I•••••••••left May 3, 2013, registered Apr 30, 2013 (-3 days) · Other
- E•••••••• A•••••••• L•• to W••••••• F•••••••• S•••••••• I•••left Oct 7, 2011, registered Aug 6, 2012 (304 days) · Other
- E••••• D••••• A•••••••• L•• to E•••••••• A•••••••• L••left Mar 31, 2011, registered Feb 4, 2011 (-55 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address