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Feed of 09/14/2026
Also filed as M••• S••••••
At current firm
7 y
since May 10, 2019
In the industry
18 y
since Apr 1, 2008 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- M••••• S•••••• wirehouse currentsince May 10, 2019 · San Jose, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDMar 16, 2015 to May 1, 2019 · San Jose, Ca
- W•••• F•••• A••••••• wirehouseApr 27, 2009 to Mar 16, 2015 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••left May 1, 2019, registered May 10, 2019 (9 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Mar 16, 2015, registered Mar 16, 2015 (0 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address