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Registered advisor
F•••• M••••••• L••••••••
Feed of 09/15/2026
At current firm
2 y
since Nov 30, 2023
In the industry
12 y
since Jan 30, 2014 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Nov 30, 2023 · Germantown, Tn
- C••••• I••••••••• A••••••• L•• BD affiliatedAug 10, 2023 to Dec 5, 2023 · Germantown, Tn
- S••••••• F•••••••• S•••••••• I••• formerJun 9, 2016 to Aug 10, 2023 · Germantown, Tn
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAMay 14, 2015 to May 20, 2016 · F••••Lin, Tn
- P••• A••••• S••••••••• L•• BD affiliatedFeb 13, 2014 to May 4, 2015 · Memphis, Tn
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to R•• C•••••• M••••••• L••left Dec 5, 2023, registered Nov 30, 2023 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
- S••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Aug 10, 2023, registered Aug 10, 2023 (0 days) · corporate re-registration, not a move
- M••••• O• O•••• I••••••• S•••••••• I••• to S••••••• F•••••••• S•••••••• I•••left May 20, 2016, registered Jun 9, 2016 (20 days) · Other
- P••• A••••• S••••••••• L•• to M••••• O• O•••• I••••••• S•••••••• I•••left May 4, 2015, registered May 14, 2015 (10 days) · Other
Signals
- F•••• M••••••• L•••••••• left C••••• I••••••••• A••••••• L•• for R•• C•••••• M••••••• L•• (registered 2023-11-30)Dec 5, 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address