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Registered advisor
R•••••• C••••
Feed of 09/15/2026
Also filed as Rick C••••
At current firm
5 y
since Jun 24, 2021
In the industry
36 y
since May 14, 1990 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- F•••• T•••• S••••••••• I••• BD affiliated currentsince Jun 24, 2021 · Gulf Breeze, Fl
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Aug 12, 2020 · Loveland, Oh
- C•••• I••••••••• S••••••• C•••• formerMay 20, 2010 to Oct 1, 2012 · New Albany, In
- U••• B•••••• I••••••••• I••• formerJan 6, 2010 to May 14, 2010 · Nashville, Tn
- C••••• I••••••••• S••••••• L•• formerOct 17, 2006 to Apr 27, 2007 · Blanchester, Oh
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to F•••• T•••• S••••••••• I•••left Aug 12, 2020, registered Jun 24, 2021 (316 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- U••• B•••••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 14, 2010, registered May 20, 2010 (6 days) · Other
- C••••• I••••••••• S••••••• L•• to U••• B•••••• I••••••••• I•••left Apr 27, 2007, registered Jan 6, 2010 (985 days) · Other
Signals
No dated event on this person.
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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address