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Registered advisor
R•••• W•••• S•••••••
Feed of 09/14/2026
At current firm
6 y
since Dec 4, 2019
In the industry
34 y
since Jun 22, 1992 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- R•• C•••••• M••••••• L•• national BD currentsince Dec 4, 2019 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseNov 1, 2010 to Jan 2, 2020 · Los Angeles, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 12, 2010 · Los Angeles, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Los Angeles, Ca
- M••••• S•••••• D• I••• unclassifiedApr 7, 2006 to Apr 2, 2007 · Los Angeles, Ca
- M••••• S•••••• D• I••• unclassifiedApr 7, 2006 to Apr 7, 2006 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseMar 19, 2001 to May 4, 2006 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Jan 2, 2020, registered Dec 4, 2019 (-29 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Nov 12, 2010, registered Nov 1, 2010 (-11 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• D• I•••left May 4, 2006, registered Apr 7, 2006 (-27 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
- National broker-dealer RIAderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address