T••• N••••••• H•••••••

S•••••••• A••••••• L••national BDRaleigh, Nc dual registrantIAPD 5467653

Chartered Financial Consultant

Feed of 09/14/2026

Also filed as N••• H••••••••• H••••••••• N••••••• H••••••••• N• H•••••••

At current firm

1 y

since Mar 31, 2025

In the industry

18 y

since Feb 29, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Apex, Nc
F••••••• P••••••• A•• W•••••••• A••••••• former
Aug 22, 2022 to Mar 31, 2025 · Raleigh, Nc
C•••••• S••••• • C••• I••• national BD
May 6, 2020 to Jul 19, 2022 · Raleigh, Nc
T• A••••••••• I••••••••• M••••••••• L•• former
Jul 23, 2009 to Apr 21, 2020 · Cary, Nc
T• A••••••••• I••• former
Jul 23, 2009 to Apr 21, 2020 · Cary, Nc
E••••• J•••• national BD
Mar 3, 2008 to Oct 1, 2008 · Raleigh, Nc

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 19, 2022, registered Aug 22, 2022 (34 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••• to C•••••• S••••• • C••• I•••
left Apr 21, 2020, registered May 6, 2020 (15 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Apr 21, 2020, registered May 6, 2020 (15 days) · RIA to affiliated broker-dealer or bank
E••••• J•••• to T• A••••••••• I•••
left Oct 1, 2008, registered Jul 23, 2009 (295 days) · Affiliated broker-dealer or bank to a newly registered adviser

Signals

T••• N••••••• H••••••• left C•••••• S••••• • C••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-08-22)
Jul 19, 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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address