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Registered advisor
S•••••• M••••• H••••••
Chartered Financial Consultant
Feed of 09/15/2026
At current firm
0 y
since Jan 21, 2026
In the industry
35 y
since Apr 9, 1991 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jan 21, 2026 · Tucson, Az
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedFeb 3, 2016 to Feb 11, 2026 · Scottsdale, Az
- S•• I••••••••• I••• formerApr 30, 2009 to Feb 3, 2016 · Scottsdale, Az
- C••••••••• F•••••••• N•••••• national BDNov 27, 2006 to May 4, 2009 · Scottsdale, Az
- S•••••••• F••••••••• I••• formerJan 30, 2006 to Dec 4, 2006 · San Diego, Ca
- H••••••••• G••••• E••••• • R••••••••• S••••••••• unclassifiedFeb 28, 2000 to Jan 30, 2006 · Mission Viejo, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• I••••••••• R••••••• A•••••••• I••• to L•• F•••••••• L••left Feb 11, 2026, registered Jan 21, 2026 (-21 days) · Affiliated broker-dealer or bank to another
- S•• I••••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Feb 3, 2016, registered Feb 3, 2016 (0 days) · Other
- C••••••••• F•••••••• N•••••• to S•• I••••••••• I•••left May 4, 2009, registered Apr 30, 2009 (-4 days) · Other
- S•••••••• F••••••••• I••• to C••••••••• F•••••••• N••••••left Dec 4, 2006, registered Nov 27, 2006 (-7 days) · Other
- H••••••••• G••••• E••••• • R••••••••• S••••••••• to S•••••••• F••••••••• I•••left Jan 30, 2006, registered Jan 30, 2006 (0 days) · Other
Signals
- S•••••• M••••• H•••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2026-01-21)Feb 11, 2026 · 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address