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Registered advisor
T••••• D• L••••
Feed of 09/14/2026
Also filed as T••••• L••••
At current firm
4 y
since Nov 15, 2021
In the industry
16 y
since Jun 29, 2010 (earliest exam, job or registration)
Prior registered firms
6
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
- W•••• F•••• A••••••• wirehouse currentsince Nov 15, 2021 · Cumming, Ga
- C••••• I••••••••• A••••••• L•• BD affiliatedApr 25, 2019 to Nov 22, 2021 · Hiram, Ga
- L•• F•••••••• L•• BD affiliatedOct 12, 2018 to Apr 24, 2019 · Enfield, Ct
- C••• F•••••••• S•••••••• L••• formerDec 5, 2016 to Oct 11, 2018 · Southbridge, Ma
- V••• I••••••••• M••••••••• C•• L•• asset managerNov 16, 2011 to Apr 4, 2016 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 14, 2011 to Aug 5, 2011 · Birmingham, Al
- M••••• S•••••• wirehouseJun 30, 2010 to Jan 12, 2011 · Birmingham, Al
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to W•••• F•••• A•••••••left Nov 22, 2021, registered Nov 15, 2021 (-7 days) · Affiliated broker-dealer or bank to wirehouse
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Apr 24, 2019, registered Apr 25, 2019 (1 days) · RIA to affiliated broker-dealer or bank
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left Oct 11, 2018, registered Oct 12, 2018 (1 days) · Affiliated broker-dealer or bank to independent RIA
- V••• I••••••••• M••••••••• C•• L•• to C••• F•••••••• S•••••••• L•••left Apr 4, 2016, registered Dec 5, 2016 (245 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V••• I••••••••• M••••••••• C•• L••left Aug 5, 2011, registered Nov 16, 2011 (103 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 12, 2011, registered Jan 14, 2011 (2 days) · Wirehouse to wirehouse
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
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address