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Registered advisor
C•••••••• S•••••••
Feed of 09/14/2026
Also filed as C•••••••• E•• S••••••••• E•• S••••••••• E• S••••••••• E•• S••••••••• E•• S•••••••
At current firm
15 y
since Jan 3, 2011
In the industry
31 y
since Aug 14, 1995 (earliest exam, job or registration)
Prior registered firms
3
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Jan 3, 2011 · Roseville, Ca
- W•••• F•••• I••••••••• L•• unclassifiedApr 10, 2007 to Jan 3, 2011 · Roseville, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedNov 23, 2004 to Apr 4, 2007 · Bozeman, Mt
- U•• F•••••••• S••••••• I••• wirehouseJul 8, 1997 to Mar 11, 2004 · Sacramento, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- V•••• F•••••••• A•••••••• I••• to W•••• F•••• I••••••••• L••left Apr 4, 2007, registered Apr 10, 2007 (6 days) · Other
- U•• F•••••••• S••••••• I••• to V•••• F•••••••• A•••••••• I•••left Mar 11, 2004, registered Nov 23, 2004 (257 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address