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Registered advisor
C••••••••• W••••••••
Feed of 09/14/2026
Also filed as C••••••••• W••••••••
At current firm
1 y
since Mar 31, 2025
In the industry
18 y
since May 30, 2008 (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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Highland Park, Il
- F••••••• P••••••• A•• W•••••••• A••••••• formerOct 12, 2021 to Mar 31, 2025 · Schaumburg, Il
- J••• M••••• S••••••••• L•• wirehouseApr 8, 2019 to Sep 3, 2021 · Prospect Heights, Il
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Dec 31, 2013 · Highland Park, Il
- C•••• I••••••••• S••••••• C•••• formerDec 14, 2009 to Oct 1, 2012 · Highland Park, Il
- H•••••• T••••••• • K•••• L•• independent RIADec 2, 2008 to Dec 16, 2009 · Chicago, Il
- S••••••• I••••••••• I••• formerMay 30, 2008 to Nov 26, 2008 · Rosemont, Il
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
- J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 3, 2021, registered Oct 12, 2021 (39 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- H•••••• T••••••• • K•••• L•• to C•••• I••••••••• S••••••• C••••left Dec 16, 2009, registered Dec 14, 2009 (-2 days) · Other
- S••••••• I••••••••• I••• to H•••••• T••••••• • K•••• L••left Nov 26, 2008, registered Dec 2, 2008 (6 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
- 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