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Registered advisor
T•••••• L• W••••
Feed of 09/14/2026
Also filed as T•••••• L• W••••
At current firm
1 y
since Nov 7, 2024
In the industry
15 y
since Nov 15, 2010 (earliest exam, job or registration)
Prior registered firms
5
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
- U•• F•••••••• S••••••• I••• wirehouse currentsince Nov 7, 2024 · Dublin, Ca
- P••• A••••• S••••••••• L•• BD affiliatedAug 2, 2023 to Nov 15, 2024 · Dublin, Ca
- U•• F•••••••• S••••••• I••• wirehouseAug 6, 2020 to Apr 6, 2023 · San Mateo, Ca
- M••••• S•••••• wirehouseMay 28, 2019 to Aug 11, 2020 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseJan 25, 2013 to Mar 18, 2015 · St. Louis, Mo
- W•••• F•••• A••••••• wirehouseJan 25, 2012 to Mar 21, 2019 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- P••• A••••• S••••••••• L•• to U•• F•••••••• S••••••• I•••left Nov 15, 2024, registered Nov 7, 2024 (-8 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to P••• A••••• S••••••••• L••left Apr 6, 2023, registered Aug 2, 2023 (118 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Aug 11, 2020, registered Aug 6, 2020 (-5 days) · Wirehouse to wirehouse · moved with a team
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Mar 21, 2019, registered Jan 25, 2013 (-2246 days) · channel change inside one enterprise, not a move
- W•••• F•••• A••••••• to M••••• S••••••left Mar 18, 2015, registered May 28, 2019 (1532 days) · Wirehouse to wirehouse
Signals
- T•••••• L• W•••• left P••• A••••• S••••••••• L•• for U•• F•••••••• S••••••• I••• (registered 2024-11-07)Nov 15, 2024 · Advisor changed firm · fact
- T•••••• L• W•••• left U•• F•••••••• S••••••• I••• for P••• A••••• S••••••••• L•• (registered 2023-08-02)Apr 6, 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
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address