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Registered advisor
T••••• B••••••
Feed of 09/14/2026
Also filed as T••••• E B••••••
At current firm
2 y
since Dec 4, 2023
In the industry
10 y
since Mar 1, 2016 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Dec 4, 2023 · Wilmington, Nc
- L•• F•••••••• L•• BD affiliatedDec 1, 2022 to Dec 14, 2023 · Wilmington, Nc
- C••• F•••••••• S•••••••• L••• formerOct 20, 2021 to Dec 2, 2022 · San Jose, Ca
- T••••• A••••••• S•••••••• I••• BD affiliatedMar 2, 2021 to Oct 15, 2021 · Atlanta, Ga
- B••• S••••••••• L•• formerJan 2, 2018 to Mar 2, 2021 · Charlotte, Nc
- B••• I••••••••• S•••••••• I••• formerNov 29, 2016 to Jan 2, 2018 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Dec 14, 2023, registered Dec 4, 2023 (-10 days) · Affiliated broker-dealer or bank to another
- C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••left Dec 2, 2022, registered Dec 1, 2022 (-1 days) · Affiliated broker-dealer or bank to independent RIA
- T••••• A••••••• S•••••••• I••• to C••• F•••••••• S•••••••• L•••left Oct 15, 2021, registered Oct 20, 2021 (5 days) · Affiliated broker-dealer or bank to another
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Mar 2, 2021, registered Mar 2, 2021 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
Signals
- T••••• B•••••• left L•• F•••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2023-12-04)Dec 14, 2023 · Advisor changed firm · fact
- T••••• B•••••• left C••• F•••••••• S•••••••• L••• for L•• F•••••••• L•• (registered 2022-12-01)Dec 2, 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address