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Registered advisor
D•••• N••••• P••••••
Feed of 09/14/2026
Also filed as D•••• N P••••••
At current firm
2 y
since Dec 12, 2023
In the industry
13 y
since Oct 18, 2012 (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
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
- B••••••• F• E•••••• • C••••••• I••••••••• BD affiliated currentsince Dec 12, 2023 · St. Charles, Il
- C••• V••••• W••••• M••••••••• L•• unclassifiedAug 17, 2023 to Nov 17, 2023 · St. Charles, Il
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Nov 21, 2022 · Boston, Ma
- S•••••••• A••••••• L•• national BDMay 24, 2016 to Jul 13, 2018 · Geneva, Il
- P•• W••••• M••••••••• BD affiliatedApr 23, 2014 to Apr 21, 2016 · Wheaton, Il
- M••••• S•••••• wirehouseOct 19, 2012 to Apr 29, 2014 · Lisle, Il
Moves
a registration end followed by a registration begin elsewhere
- C••• V••••• W••••• M••••••••• L•• to B••••••• F• E•••••• • C••••••• I•••••••••left Nov 17, 2023, registered Dec 12, 2023 (25 days) · Other
- F••••••• P••••••• A•• W•••••••• A••••••• to C••• V••••• W••••• M••••••••• L••left Nov 21, 2022, registered Aug 17, 2023 (269 days) · Other
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to S•••••••• A••••••• L••left Apr 21, 2016, registered May 24, 2016 (33 days) · Other
- M••••• S•••••• to P•• W••••• M•••••••••left Apr 29, 2014, registered Apr 23, 2014 (-6 days) · Other
Signals
- D•••• N••••• P•••••• left C••• V••••• W••••• M••••••••• L•• for B••••••• F• E•••••• • C••••••• I••••••••• (registered 2023-12-12)Nov 17, 2023 · Advisor changed firm · fact
- D•••• N••••• P•••••• left F••••••• P••••••• A•• W•••••••• A••••••• for C••• V••••• W••••• M••••••••• L•• (registered 2023-08-17)Nov 21, 2022 · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address