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Registered advisor
W•••••• S•••• L•••••••
Feed of 09/14/2026
Also filed as W••• L•••••••
At current firm
10 y
since Nov 10, 2015
In the industry
13 y
since Nov 2, 2012 (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
- M••••• S•••••• wirehouse currentsince Nov 10, 2015 · Winston-Salem, Nc
- W•••• F•••• A••••••• wirehouseMay 30, 2014 to Nov 12, 2015 · Raleigh, Nc
- E••••• J•••• national BDNov 5, 2012 to Jun 2, 2014 · Maryland Heights, Mo
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M••••• S••••••left Nov 12, 2015, registered Nov 10, 2015 (-2 days) · Wirehouse to wirehouse
- E••••• J•••• to W•••• F•••• A•••••••left Jun 2, 2014, registered May 30, 2014 (-3 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
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address