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D•••••• L••• S••••••
Client Relationship Managerat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· Chico, CaIAPD 2082702
As of · the IAPD feed; also filed as D•••••• L• S••••••••• L••• L••••••••• L••••
- At current firm
- 18 y
- In the industry
- 29 y
- Prior registered firms
- 2
- Signals
- 0
since Aug 15, 2008
As of · the IAPD feed; also filed as D•••••• L• S••••••••• L••• L••••••••• L••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- Client Relationship Managerreportednelsongroupstifel.comfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Aug 15, 2008 · Chico, Ca
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Aug 14, 2008 · Paradise, Ca
- A• G• E•••••• • S•••• I••• unclassifiedJul 8, 1997 to Jan 1, 2008 · Paradise, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Aug 14, 2008, registered Aug 15, 2008 (1 day) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address