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Registered advisor
S•••• H••••••• R•••
Certified Financial Planner
Feed of 09/15/2026
Also filed as S•••• H•••••••
At current firm
1 y
since Jan 24, 2025
In the industry
32 y
since Jan 18, 1994 (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
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
- O•••• W•••••• I••• BD affiliated currentsince Jan 24, 2025 · San Francisco, Ca
- O•••• F•• I••• formerJan 21, 2020 to Jan 24, 2025 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseJan 13, 2012 to Jan 29, 2020 · San Francisco, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 10, 2000 to Jan 17, 2012 · Washington, Dc
Moves
a registration end followed by a registration begin elsewhere
- O•••• F•• I••• to O•••• W•••••• I•••left Jan 24, 2025, registered Jan 24, 2025 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to O•••• F•• I•••left Jan 29, 2020, registered Jan 21, 2020 (-8 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jan 17, 2012, registered Jan 13, 2012 (-4 days) · Wirehouse to wirehouse
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address