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Registered advisor
C•••• L••• L••••••
Feed of 09/14/2026
Also filed as C•••• L••• Sutton
At current firm
7 y
since Apr 3, 2019
In the industry
11 y
since Oct 1, 2014 (earliest exam, job or registration)
Prior registered firms
6
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Apr 3, 2019 · St. Louis, Mo
- E••••• J•••• national BDSep 6, 2018 to Mar 7, 2019 · St Louis, Mo
- C••••• I••••••••• A••••••• L•• BD affiliatedAug 8, 2018 to Aug 22, 2018 · St. Louis, Mo
- T• A••••••••• I••• formerFeb 27, 2018 to Jun 22, 2018 · St Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Jun 22, 2018 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerJun 8, 2017 to Feb 26, 2018 · Saint Louis, Mo
- W•••• F•••• A••••••• wirehouseJan 23, 2015 to Oct 12, 2016 · St. Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to W•••• F•••• A•••••••left Mar 7, 2019, registered Apr 3, 2019 (27 days) · Affiliated broker-dealer or bank to wirehouse
- C••••• I••••••••• A••••••• L•• to E••••• J••••left Aug 22, 2018, registered Sep 6, 2018 (15 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jun 22, 2018, registered Feb 27, 2018 (-115 days) · corporate re-registration, not a move
- T• A••••••••• I••• to C••••• I••••••••• A••••••• L••left Jun 22, 2018, registered Aug 8, 2018 (47 days) · Other
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to S•••••••• I••••••••• M•••••••••left Oct 12, 2016, registered Jun 8, 2017 (239 days) · Other · moved with a team
Signals
No dated event on this person.
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address