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Registered advisor
T••••• S•••• L•••
Certified Financial Planner
Feed of 09/14/2026
Also filed as S•••• L•••
At current firm
6 y
since Jan 17, 2020
In the industry
43 y
since May 11, 1983 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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 Jan 17, 2020 · Bowling Green, Ky
- W•••• F•••• A••••••• wirehouseJan 19, 2007 to Jan 22, 2020 · Bowling Green, Ky
- M••••• S•••••• D• I••• unclassifiedOct 28, 2003 to Jan 22, 2007 · Bowling Green, Ky
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M••••• S••••••left Jan 22, 2020, registered Jan 17, 2020 (-5 days) · Wirehouse to wirehouse
- M••••• S•••••• D• I••• to W•••• F•••• A•••••••left Jan 22, 2007, registered Jan 19, 2007 (-3 days) · Other
Signals
No dated event on this person.
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
- Wirehousederived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address