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Registered advisor
A••••••• S••••
Feed of 09/15/2026
Also filed as A••••••• S••••••••• S••••••••• S••••••••• S•••• C••••••••
At current firm
5 y
since Feb 20, 2021
In the industry
14 y
since Jun 1, 2012 (earliest exam, job or registration)
Prior registered firms
2
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
- H•••••••• A•••••••• L•• BD affiliated currentsince Feb 20, 2021 · Chicago, Il
- H•••••••• A•••••••• L•• BD affiliatedJun 5, 2020 to Jan 19, 2021 · Chicago, Il
- N••••••••• M••••• I••••••••• S••••••••• no RAUMApr 19, 2018 to Jul 24, 2018 · Mc Lean, Va
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to H•••••••• A•••••••• L••left Jul 24, 2018, registered Jun 5, 2020 (682 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address