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Registered advisor
E•••• P••• S•••••••••
Feed of 09/14/2026
Also filed as E•••• P••• S•••••••••
At current firm
1 y
since Sep 5, 2025
In the industry
54 y
since Jun 1, 1972 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · Lebanon, Oh
- A•••••• A••••••• S••••••• formerOct 25, 2019 to Sep 5, 2025 · Dallas, Tx
- 1•• G••••• A••••••• I•• formerMay 10, 2002 to Oct 25, 2019 · Maineville, Oh
- M•••••• M•••• M••••••••• I••• unclassifiedAug 8, 2000 to Dec 9, 2004 · Cincinnati, Oh
Moves
a registration end followed by a registration begin elsewhere
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- 1•• G••••• A••••••• I•• to A•••••• A••••••• S•••••••left Oct 25, 2019, registered Oct 25, 2019 (0 days) · corporate re-registration, not a move
- M•••••• M•••• M••••••••• I••• to 1•• G••••• A••••••• I••left Dec 9, 2004, registered May 10, 2002 (-944 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
- 54derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address