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Registered advisor
R••••• W••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as R••••• Stockton W•••• III
At current firm
1 y
since Mar 31, 2025
In the industry
11 y
since May 1, 2015 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Albuquerque, Nm
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 28, 2023 to Mar 31, 2025 · Albuquerque, Nm
- C•••••• S••••• • C••• I••• national BDDec 14, 2021 to Aug 31, 2023 · Albuquerque, Nm
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Sep 29, 2021 · Boston, Ma
- S•••••••• A••••••• L•• national BDJan 4, 2017 to Jul 13, 2018 · Albuquerque, Nm
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 31, 2023, registered Sep 28, 2023 (28 days) · Affiliated broker-dealer or bank to another
- F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••left Sep 29, 2021, registered Dec 14, 2021 (76 days) · Affiliated broker-dealer or bank to another · moved with a team
- 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
Signals
- R••••• W•••• left C•••••• S••••• • C••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-09-28)Aug 31, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address