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Registered advisor
B••••••• E••••• N••••
Feed of 09/14/2026
Also filed as B••••••• E••••• N••••
At current firm
2 y
since Nov 13, 2023
In the industry
20 y
since Dec 1, 2005 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- T••••••••• R••••••••• A•••••••• L•• BD affiliated currentsince Nov 13, 2023 · Syracuse, Ut
- W•••• F•••• A••••••• wirehouseAug 9, 2023 to Aug 21, 2023 · St. Louis, Mo
- F••••••• P••••••• A•• W•••••••• A••••••• formerDec 19, 2018 to Feb 10, 2023 · Salt Lake City, Ut
- S•••••••• A••••••• L•• national BDOct 19, 2016 to Aug 21, 2017 · Salt Lake City, Ut
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to T••••••••• R••••••••• A•••••••• L••left Aug 21, 2023, registered Nov 13, 2023 (84 days) · Wirehouse to affiliated broker-dealer or bank
- F••••••• P••••••• A•• W•••••••• A••••••• to W•••• F•••• A•••••••left Feb 10, 2023, registered Aug 9, 2023 (180 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 21, 2017, registered Dec 19, 2018 (485 days) · channel change inside one enterprise, not a move
Signals
- B••••••• E••••• N•••• left W•••• F•••• A••••••• for T••••••••• R••••••••• A•••••••• L•• (registered 2023-11-13)Aug 21, 2023 · Advisor changed firm · fact
- B••••••• E••••• N•••• left F••••••• P••••••• A•• W•••••••• A••••••• for W•••• F•••• A••••••• (registered 2023-08-09)Feb 10, 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address