W•••••• A••••• F•••••••

A••••• A•• P••••••• S•••••••BD affiliatedFrisco, Tx dual registrantIAPD 1851122

Feed of 09/14/2026

Also filed as W•••••• A••••• F••••••••• A••••• F••••••••• A••••• F••••••••• A••••• F••••••••• A••••• F••••••••• A••••• F••••••••• A• F••••••• I•

At current firm

2 y

since May 28, 2024

In the industry

38 y

since Aug 2, 1988 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

A••••• A•• P••••••• S••••••• BD affiliated current
since May 28, 2024 · Frisco, Tx
C•••••••• G••••• M•••••• I••• BD affiliated
Jan 27, 2022 to May 1, 2023 · Irving, Tx
J••• M••••• S••••••••• L•• wirehouse
Jan 25, 2021 to Oct 20, 2021 · Plano, Tx
A•••••• A••••••• S••••••• former
Feb 28, 2017 to Feb 12, 2018 · Dallas, Tx
V•••• F•••••••• A•••••••• I••• BD affiliated
Dec 2, 2010 to Jul 18, 2011 · Chicago, Il
C•••••• S••••• • C••• I••• national BD
Jun 5, 2008 to Nov 26, 2010 · Orland Park, Il
E•••••• C•••••• M••••••••• L•• former
Feb 1, 2007 to Apr 29, 2008 · Jersey City, Nj
S•••••••• A••••••• L•• national BD
Jul 18, 2001 to Oct 13, 2006 · Wexford, Pa

Moves

a registration end followed by a registration begin elsewhere

C•••••••• G••••• M•••••• I••• to A••••• A•• P••••••• S•••••••
left May 1, 2023, registered May 28, 2024 (393 days) · Affiliated broker-dealer or bank to another
J••• M••••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••
left Oct 20, 2021, registered Jan 27, 2022 (99 days) · Wirehouse to affiliated broker-dealer or bank
A•••••• A••••••• S••••••• to J••• M••••• S••••••••• L••
left Feb 12, 2018, registered Jan 25, 2021 (1078 days) · Other
V•••• F•••••••• A•••••••• I••• to A•••••• A••••••• S•••••••
left Jul 18, 2011, registered Feb 28, 2017 (2052 days) · Other
C•••••• S••••• • C••• I••• to V•••• F•••••••• A•••••••• I•••
left Nov 26, 2010, registered Dec 2, 2010 (6 days) · Other
E•••••• C•••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Apr 29, 2008, registered Jun 5, 2008 (37 days) · Other
S•••••••• A••••••• L•• to E•••••• C•••••• M••••••••• L••
left Oct 13, 2006, registered Feb 1, 2007 (111 days) · Other

Signals

••• Locked
May 1, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 38derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address