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Registered advisor

N••••• C••••••

W•••• F•••• A•••••••wirehouseSt. Louis, Mo dual registrantIAPD 6437451

Feed of 09/15/2026

Also filed as N•••• F• C••••••••• F••• W••••••••• F••• W••••••••• F••• C••••••••• C••••••

At current firm

6 y

since Sep 9, 2020

In the industry

11 y

since Feb 1, 2015 (earliest exam, job or registration)

Prior registered firms

4

IAPD previous registrations

State registrations

1

current, as an IAR

Firms today

2

current registrations

Exams

S63, 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 current
since Jun 20, 2024 · St. Louis, Mo
W•••• F•••• A••••••• wirehouse current
since Sep 9, 2020 · St. Louis, Mo

E••••• J•••• national BD
Jun 24, 2019 to Sep 3, 2020 · St Louis, Mo
T• A••••••••• I••• former
Mar 5, 2018 to Jun 14, 2019 · St. Louis, Mo
T• A••••••••• I••••••••• M••••••••• L•• former
Feb 26, 2018 to Nov 29, 2018 · Omaha, Ne
S•••••••• I••••••••• M••••••••• former
Jun 10, 2016 to Feb 26, 2018 · Saint Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

E••••• J•••• to W•••• F•••• A•••••••
left Sep 3, 2020, registered Sep 9, 2020 (6 days) · Affiliated broker-dealer or bank to wirehouse
T• A••••••••• I••• to E••••• J••••
left Jun 14, 2019, registered Jun 24, 2019 (10 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Nov 29, 2018, registered Mar 5, 2018 (-269 days) · channel change inside one enterprise, not a move · moved with a team
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

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: 11derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address