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Registered advisor
W•••••• E••••• S••••••
Feed of 09/14/2026
Also filed as W•••••• E••••• S••••••
At current firm
2 y
since Jun 14, 2024
In the industry
32 y
since Jan 1, 1994 (earliest exam, job or registration)
Prior registered firms
4
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
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · Clearwater, Fl
- S••••••••• A•••••• A•••••••• I••• formerNov 9, 2017 to Jun 14, 2024 · San Rafael, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerApr 2, 2009 to Nov 7, 2017 · Alameda, Ca
- S••••••• F•••••••• S•••••••• I••• unclassifiedJul 8, 1997 to Dec 31, 2013 · San Rafael, Ca
- O•••• W•••••• I••• BD affiliatedJul 8, 1997 to Apr 8, 2009 · San Rafael, Ca
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S••••••••• A•••••• A•••••••• I•••left Nov 7, 2017, registered Nov 9, 2017 (2 days) · Other · moved with a team
- S••••••• F•••••••• S•••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Dec 31, 2013, registered Apr 2, 2009 (-1734 days) · Other
- O•••• W•••••• I••• to S••••••• F•••••••• S•••••••• I•••left Apr 8, 2009, registered Jul 8, 1997 (-4292 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address