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Registered advisor
P•••• A•••••••• O•••••
Feed of 09/15/2026
Also filed as P•••• A•••••••• O•••••
At current firm
5 y
since Sep 20, 2021
In the industry
32 y
since Feb 14, 1994 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- S•••••• C•••••• A••••••• L•• BD affiliated currentsince Sep 20, 2021 · Coral Gables, Fl
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Sep 8, 2021 · Miami, Fl
- P••••••••• E••••• G••••• L•• unclassifiedMay 8, 1998 to Jul 1, 2003 · Miami, Fl
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S•••••• C•••••• A••••••• L••left Sep 8, 2021, registered Sep 20, 2021 (12 days) · Wirehouse to affiliated broker-dealer or bank
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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