Z•••••• T• E••••

A••••• A•• P••••••• S•••••••BD affiliatedCharlotte, Nc dual registrantIAPD 5457008

Feed of 09/15/2026

At current firm

8 y

since Jul 16, 2018

In the industry

17 y

since Sep 23, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••• A•• P••••••• S••••••• BD affiliated current
since Jul 16, 2018 · Durham, Nc
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
Sep 21, 2010 to Aug 3, 2012 · Charlotte, Nc
S••••••• I••••••••• I••• former
Sep 23, 2008 to Oct 27, 2008 · Charlotte, Nc

Moves

a registration end followed by a registration begin elsewhere

N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to A••••• A•• P••••••• S•••••••
left Aug 3, 2012, registered Jul 16, 2018 (2173 days) · Other
S••••••• I••••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
left Oct 27, 2008, registered Sep 21, 2010 (694 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: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address