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Registered advisor
B•••••• A••••••••• Y••••••
Feed of 09/15/2026
Also filed as B•••••• Y••••••
At current firm
3 y
since Jan 5, 2023
In the industry
11 y
since Dec 23, 2014 (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
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
- A••••• A•• P••••••• S••••••• BD affiliated currentsince Jan 5, 2023 · Charlotte, Nc
- E••••• J•••• national BDMar 22, 2022 to Nov 16, 2022 · St Louis, Mo
- U•• F•••••••• S••••••• I••• wirehouseDec 3, 2015 to Mar 31, 2022 · Charlotte, Nc
- W•••• F•••• A••••••• wirehouseFeb 20, 2015 to Nov 24, 2015 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to A••••• A•• P••••••• S•••••••left Nov 16, 2022, registered Jan 5, 2023 (50 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to E••••• J••••left Mar 31, 2022, registered Mar 22, 2022 (-9 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Nov 24, 2015, registered Dec 3, 2015 (9 days) · Wirehouse to wirehouse
Signals
- B•••••• A••••••••• Y•••••• left E••••• J•••• for A••••• A•• P••••••• S••••••• (registered 2023-01-05)Nov 16, 2022 · Advisor changed firm · fact
- B•••••• A••••••••• Y•••••• left U•• F•••••••• S••••••• I••• for E••••• J•••• (registered 2022-03-22)Mar 31, 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address