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Feed of 09/14/2026
Also filed as Tom Luu N•••••
At current firm
1 y
since Mar 19, 2025
In the industry
15 y
since Jan 1, 2011 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• BD affiliated currentsince Mar 19, 2025 · Scottsdale, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 27, 2023 to Mar 20, 2025 · Tempe, Az
- U••• B•••••• A•••••••• L•• BD affiliatedSep 10, 2020 to Feb 8, 2023 · San Jose, Ca
- M••••• S•••••• wirehouseSep 18, 2019 to Sep 15, 2020 · Peoria, Az
- C•••••• S••••• • C••• I••• national BDFeb 16, 2016 to Aug 27, 2019 · Tucson, Az
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••••left Mar 20, 2025, registered Mar 19, 2025 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- U••• B•••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 8, 2023, registered Jan 27, 2023 (-12 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M••••• S•••••• to U••• B•••••• A•••••••• L••left Sep 15, 2020, registered Sep 10, 2020 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••• S••••• • C••• I••• to M••••• S••••••left Aug 27, 2019, registered Sep 18, 2019 (22 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- T•• N••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for Mariner (registered 2025-03-19)Mar 20, 2025 · Advisor changed firm · fact
- T•• N••••• left U••• B•••••• A•••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-01-27)Feb 8, 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address