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Feed of 09/14/2026
Also filed as Thomas Mclean
At current firm
5 y
since Apr 16, 2021
In the industry
16 y
since Mar 26, 2010 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
- E••••• J•••• national BD currentsince Apr 16, 2021 · Waxhaw, Nc
- W•••• F•••• A••••••• wirehouseJun 13, 2017 to Apr 6, 2021 · Charlotte, Nc
- J••• M••••• S••••••••• L•• wirehouseJun 18, 2014 to Mar 22, 2017 · San Antonio, Tx
- U••• F•••••••• P••••••• S••••••• formerDec 17, 2010 to Apr 10, 2014 · San Antonio, Tx
- L••••• T•• A•• F•••••••• P•••••••• L•• unclassifiedJun 10, 2010 to Jan 20, 2011 · Knoxville, Tn
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to E••••• J••••left Apr 6, 2021, registered Apr 16, 2021 (10 days) · Wirehouse to affiliated broker-dealer or bank
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Mar 22, 2017, registered Jun 13, 2017 (83 days) · Wirehouse to wirehouse
- U••• F•••••••• P••••••• S••••••• to J••• M••••• S••••••••• L••left Apr 10, 2014, registered Jun 18, 2014 (69 days) · Other
- L••••• T•• A•• F•••••••• P•••••••• L•• to U••• F•••••••• P••••••• S•••••••left Jan 20, 2011, registered Dec 17, 2010 (-34 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address