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Registered advisor
L•• L••••• S•••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
Also filed as L L••••• S•••••
At current firm
1 y
since May 1, 2025
In the industry
39 y
since May 6, 1987 (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
S63, 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
- L•• F•••••••• L•• BD affiliated currentsince May 1, 2025 · St. George, Ut
- S•• I••••••••• A•••••••• I••• formerNov 4, 2013 to May 1, 2025 · Fresno, Ca
- W••• S••••• F•••••••• G••••• I•• formerApr 25, 2005 to Oct 31, 2013 · St. George, Ut
- Z•••• D•••••• I••• unclassifiedJun 7, 1999 to Apr 22, 2005 · St. George, Ut
Moves
a registration end followed by a registration begin elsewhere
- S•• I••••••••• A•••••••• I••• to L•• F•••••••• L••left May 1, 2025, registered May 1, 2025 (0 days) · corporate re-registration, not a move
- W••• S••••• F•••••••• G••••• I•• to S•• I••••••••• A•••••••• I•••left Oct 31, 2013, registered Nov 4, 2013 (4 days) · Other
- Z•••• D•••••• I••• to W••• S••••• F•••••••• G••••• I••left Apr 22, 2005, registered Apr 25, 2005 (3 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address