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Registered advisor
D••••• F•••• T••••••••
Feed of 09/14/2026
Also filed as D••••• F•••• T••••••••
At current firm
10 y
since Nov 11, 2015
In the industry
46 y
since Apr 30, 1980 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
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
- L•• F•••••••• L•• BD affiliated currentsince Nov 11, 2015 · West Des Moines, Ia
- W•••••• • R••• formerMay 10, 2013 to Nov 17, 2015 · Norwalk, Ia
- L•• F•••••••• L•• BD affiliatedJan 17, 2003 to May 21, 2013 · West Des Moines, Ia
- W•••• F•••• A••••••• wirehouseOct 8, 1999 to Jan 17, 2003 · West Des Moines, Ia
Moves
a registration end followed by a registration begin elsewhere
- W•••••• • R••• to L•• F•••••••• L••left Nov 17, 2015, registered Nov 11, 2015 (-6 days) · Other
- L•• F•••••••• L•• to W•••••• • R•••left May 21, 2013, registered May 10, 2013 (-11 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jan 17, 2003, registered Jan 17, 2003 (0 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address