D••••• S••• S•••••

N•••••• A•••••••BD affiliatedNew Orleans, La dual registrantIAPD 5697477

Feed of 09/15/2026

At current firm

3 y

since Aug 17, 2023

In the industry

13 y

since Mar 13, 2013 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

N•••••• A••••••• BD affiliated current
since Aug 17, 2023 · Greenville, Sc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 30, 2015 to Aug 21, 2023 · Greenville, Sc
V••• F•••••••• A•••••••• I••• BD affiliated
Jan 24, 2014 to Dec 1, 2015 · Greenville, Sc

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N•••••• A•••••••
left Aug 21, 2023, registered Aug 17, 2023 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
V••• F•••••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Dec 1, 2015, registered Nov 30, 2015 (-1 days) · Other · moved with a team

Signals

••• Locked
Aug 21, 2023 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address