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C•••• L•••• S•••••
Senior Vice President/Investmentsat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· Irvine, CaIAPD 1099710
As of · the IAPD feed
- At current firm
- 13 y
- In the industry
- 43 y
- Prior registered firms
- 3
- Signals
- 0
since Aug 1, 2013
As of · the IAPD feed
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Professional profileWhat is shown hereOnly business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
title, designations and roles as the firm prints them
- Title
- Senior Vice President/Investmentsreportedstifel.comfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Aug 1, 2013 · Irvine, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 21, 2013 · Laguna Niguel, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Laguna Woods, Ca
- M••••• S•••••• D• I••• unclassifiedNov 2, 1998 to Apr 2, 2007 · Irvine, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Aug 21, 2013, registered Aug 1, 2013 (-20 days) · Wirehouse to affiliated broker-dealer or bank
- 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
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
- National broker-dealer RIAderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address