A••••• S••••••• T•••••

C•••••• S••••• • C••• I•••national BDColorado Spgs, Co dual registrantIAPD 2095205

Feed of 09/15/2026

Also filed as A••••• S• T•••••

At current firm

7 y

since Dec 26, 2018

In the industry

17 y

since Feb 26, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• S••••• • C••• I••• national BD current
since Dec 26, 2018 · Lone Tree, Co
S•••••••• A••••••• L•• national BD
May 3, 2016 to Nov 6, 2017 · Greenwood Village, Co
T• R••• P•••• A••••••• S•••••••• I••• BD affiliated
Mar 9, 2009 to Apr 5, 2016 · Colorado Springs, Co

Moves

a registration end followed by a registration begin elsewhere

S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••
left Nov 6, 2017, registered Dec 26, 2018 (415 days) · Affiliated broker-dealer or bank to another
T• R••• P•••• A••••••• S•••••••• I••• to S•••••••• A••••••• L••
left Apr 5, 2016, registered May 3, 2016 (28 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: National broker-dealer RIAderived
Years in industry: 17derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address