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Registered advisor
T••••• L•• W••••
Feed of 09/14/2026
Also filed as T••••• W••••
At current firm
9 y
since Sep 7, 2017
In the industry
15 y
since Feb 4, 2011 (earliest exam, job or registration)
Prior registered firms
2
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
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Sep 7, 2017 · Petaluma, Ca
- W•••• F•••• A••••••• wirehouseDec 9, 2013 to Sep 13, 2017 · Santa Rosa, Ca
- E••••• J•••• national BDFeb 7, 2011 to Dec 10, 2013 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to K••••• A••••••• S•••••••• L••left Sep 13, 2017, registered Sep 7, 2017 (-6 days) · Other
- E••••• J•••• to W•••• F•••• A•••••••left Dec 10, 2013, registered Dec 9, 2013 (-1 days) · Affiliated broker-dealer or bank to wirehouse
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
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