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Registered advisor
S•••••••• L• S••••••••
Feed of 09/14/2026
Also filed as S•••••••• L••• S••••••••
At current firm
4 y
since Feb 11, 2022
In the industry
23 y
since Feb 1, 2003 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
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
- M••••• S•••••• wirehouse currentsince Feb 11, 2022 · Raleigh, Nc
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 15, 2021 to Aug 2, 2021 · South Bend, In
- E••••• J•••• national BDAug 18, 2017 to Mar 22, 2021 · South Bend, In
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to M••••• S••••••left Aug 2, 2021, registered Feb 11, 2022 (193 days) · Affiliated broker-dealer or bank to wirehouse
- E••••• J•••• to F••••••• P••••••• A•• W•••••••• A•••••••left Mar 22, 2021, registered Apr 15, 2021 (24 days) · Affiliated broker-dealer or bank to another
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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address