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Registered advisor
R•••• A••• S••••••
Feed of 09/14/2026
Also filed as Rick Alan Sanford
At current firm
4 y
since Dec 21, 2021
In the industry
35 y
since Mar 1, 1991 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- L•••• F••• A••••••• S••••••• BD affiliated currentsince Dec 21, 2021 · Dallas, Tx
- C••••• I••••••••• A••••••• L•• BD affiliatedMay 18, 2017 to Jul 1, 2019 · Salem, Or
- E••••• J•••• national BDFeb 13, 2007 to May 17, 2017 · Sumner, Wa
- A••••••••• F•••••••• S•••••••• L•• national BDNov 15, 2000 to Nov 19, 2003 · Pullman, Wa
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to L•••• F••• A••••••• S•••••••left Jul 1, 2019, registered Dec 21, 2021 (904 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to C••••• I••••••••• A••••••• L••left May 17, 2017, registered May 18, 2017 (1 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to E••••• J••••left Nov 19, 2003, registered Feb 13, 2007 (1182 days) · Affiliated broker-dealer or bank to another
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