E•••••••• V• B••••

A••••••••• F•••••••• S•••••••• L••national BDBoca Raton, Fl dual registrantIAPD 1438117

Certified Financial Planner

Feed of 09/15/2026

Also filed as T••••• V••••••••• T•••••• V••••••••• T•••••• V••••••••• B•••• V••••••••• V••• B••••••••• V••• V••••••••• V••••••••• T• B••••••••• V••• B••••

At current firm

4 y

since May 23, 2022

In the industry

40 y

since Mar 20, 1986 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••••••• F•••••••• S•••••••• L•• national BD current
since May 23, 2022 · Boca Raton, Fl

M••••• S•••••• wirehouse
Jun 1, 2009 to May 24, 2022 · Washington, Dc
C•••••••• G••••• M•••••• I••• BD affiliated
Oct 28, 2008 to Jun 1, 2009 · Washington, Dc
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Nov 18, 1999 to Sep 29, 2008 · Washington, Dc

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••
left May 24, 2022, registered May 23, 2022 (-1 days) · Wirehouse to affiliated broker-dealer or bank
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••
left Sep 29, 2008, registered Oct 28, 2008 (29 days) · Other

Signals

••• Locked
May 24, 2022 · Advisor changed firm · fact

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: 40derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address