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Registered advisor
D••• S•••••••• D••••••
Feed of 09/15/2026
Also filed as D••• S D••••••
At current firm
3 y
since Mar 3, 2023
In the industry
39 y
since Oct 20, 1986 (earliest exam, job or registration)
Prior registered firms
4
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••••• A•••••••• L•• national BD currentsince Mar 3, 2023 · Delray Beach, Fl
- P•••• S••••••••• L•• no RAUMJun 14, 2013 to Mar 8, 2023 · West Palm Beach, Fl
- V•••• F•••••••• A•••••••• I••• BD affiliatedJan 17, 2008 to May 30, 2013 · Boca Raton, Fl
- N••• C••••••••• BD affiliatedJan 28, 2005 to Jan 11, 2008 · Ft. Lauderdale, Fl
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedOct 14, 2002 to Mar 25, 2003 · Dunedin, Fl
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to E•••••••• A•••••••• L••left Mar 8, 2023, registered Mar 3, 2023 (-5 days) · Affiliated broker-dealer or bank to another
- V•••• F•••••••• A•••••••• I••• to P•••• S••••••••• L••left May 30, 2013, registered Jun 14, 2013 (15 days) · Other
- N••• C••••••••• to V•••• F•••••••• A•••••••• I•••left Jan 11, 2008, registered Jan 17, 2008 (6 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to N••• C•••••••••left Mar 25, 2003, registered Jan 28, 2005 (675 days) · Other
Signals
- D••• S•••••••• D•••••• left P•••• S••••••••• L•• for E•••••••• A•••••••• L•• (registered 2023-03-03)Mar 8, 2023 · Advisor changed firm · fact
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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address