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D•••• L•• S•••••••
Associate Vice President/Investmentsat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· Lincoln, CaIAPD 1944847
As of · the IAPD feed; also filed as D•• L•• S•••••••
- At current firm
- 18 y
- In the industry
- 35 y
- Prior registered firms
- 2
- Signals
- 0
since Mar 24, 2008
As of · the IAPD feed; also filed as D•• L•• S•••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Professional profileWhat is shown hereOnly business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
title, designations and roles as the firm prints them
- Title
- Associate Vice President/Investmentsreportedstifel.comfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Mar 24, 2008 · Lincoln, Ca
- W•••• F•••• A••••••• wirehouseJun 2, 2006 to Mar 27, 2008 · Folsom, Ca
- A• G• E•••••• • S•••• I••• unclassifiedJul 8, 1997 to Jun 9, 2006 · Lincoln Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Mar 27, 2008, registered Mar 24, 2008 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jun 9, 2006, registered Jun 2, 2006 (-7 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
- National broker-dealer RIAderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address