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Registered advisor
C••••••••• D•••• S••••••
Feed of 09/15/2026
Also filed as Chris S••••••
At current firm
6 y
since Sep 29, 2019
In the industry
35 y
since Oct 2, 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
S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Sep 29, 2019 · Sylvania, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDApr 18, 2012 to Sep 25, 2019 · Toledo, Oh
- S•• BD affiliatedJan 24, 2006 to Apr 18, 2012 · Toledo, Oh
- C••••• A••••••• L•• formerJan 1, 2004 to Feb 9, 2006 · Toledo, Oh
- V••••• S••••••••• C••••••••• unclassifiedFeb 15, 2000 to Jan 1, 2004 · Toledo, Oh
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Sep 25, 2019, registered Sep 29, 2019 (4 days) · Affiliated broker-dealer or bank to another
- S•• to A••••••••• F•••••••• S•••••••• L••left Apr 18, 2012, registered Apr 18, 2012 (0 days) · Other
- C••••• A••••••• L•• to S••left Feb 9, 2006, registered Jan 24, 2006 (-16 days) · Other
- V••••• S••••••••• C••••••••• to C••••• A••••••• L••left Jan 1, 2004, registered Jan 1, 2004 (0 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address