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Registered advisor
T••••• T•••••
Feed of 09/14/2026
Also filed as T••••• Walter T•••••
At current firm
11 y
since Feb 18, 2015
In the industry
39 y
since Oct 10, 1986 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
2
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Apr 8, 2026 · Woodland Hills, Ca
- W•••• F•••• A••••••• wirehouse currentsince Feb 18, 2015 · Woodland Hills, Ca
- C•••••• S••••• • C••• I••• national BDMay 24, 2012 to Feb 23, 2015 · Los Angeles, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 16, 2012 to Apr 27, 2012 · Canoga Park, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 17, 2010 to Jan 18, 2012 · Glendale, Ca
- C••• B•••••••• S•••••••• I••• formerFeb 15, 2008 to Feb 1, 2010 · Waverly, Ia
- C••• F•••••••• S•••••••• L••• formerMay 17, 2006 to Feb 11, 2008 · Hawthorne, Ca
- V••• F•••••••• P•••••••• L•• formerJun 16, 2005 to Jan 4, 2006 · Agoura Hills, Ca
- C•••••• S••••• • C••• I••• national BDOct 17, 2001 to Nov 22, 2004 · Encino, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••• S••••• • C••• I••• to W•••• F•••• A•••••••left Feb 23, 2015, registered Feb 18, 2015 (-5 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Apr 27, 2012, registered May 24, 2012 (27 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 18, 2012, registered Mar 16, 2012 (58 days) · Other
- C••• B•••••••• S•••••••• I••• to C•••••••• G••••• M•••••• I•••left Feb 1, 2010, registered May 17, 2010 (105 days) · Other
- C••• F•••••••• S•••••••• L••• to C••• B•••••••• S•••••••• I•••left Feb 11, 2008, registered Feb 15, 2008 (4 days) · Other
- V••• F•••••••• P•••••••• L•• to C••• F•••••••• S•••••••• L•••left Jan 4, 2006, registered May 17, 2006 (133 days) · Other
- C•••••• S••••• • C••• I••• to V••• F•••••••• P•••••••• L••left Nov 22, 2004, registered Jun 16, 2005 (206 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address