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Registered advisor
B•••••• T• W•••••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
Also filed as B•••••• Thomas W•••••••
At current firm
0 y
since Jul 2, 2026
In the industry
10 y
since Sep 1, 2016 (earliest exam, job or registration)
Prior registered firms
5
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
- L•• F•••••••• L•• BD affiliated currentsince Jul 2, 2026 · Albuquerque, Nm
- S•••••••• A••••••• L•• national BDMar 31, 2025 to Jun 11, 2026 · Rio Rancho, Nm
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 12, 2020 to Mar 31, 2025 · Albuquerque, Nm
- E••••• J•••• national BDJul 30, 2018 to Oct 7, 2019 · Albuquerque, Nm
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Aug 6, 2018 · Boston, Ma
- S•••••••• A••••••• L•• national BDApr 23, 2018 to Jul 13, 2018 · Albuquerque, Nm
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to L•• F•••••••• L••left Jun 11, 2026, registered Jul 2, 2026 (21 days) · Affiliated broker-dealer or bank to another · moved with a team
- 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
- E••••• J•••• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 7, 2019, registered Feb 12, 2020 (128 days) · Affiliated broker-dealer or bank to another
- F••••••• P••••••• A•• W•••••••• A••••••• to E••••• J••••left Aug 6, 2018, registered Jul 30, 2018 (-7 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
- B•••••• T• W••••••• left S•••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2026-07-02)Jun 11, 2026 · 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