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Registered advisor
S•••••• E••• W••••••••
Feed of 09/14/2026
At current firm
8 y
since Aug 31, 2018
In the industry
34 y
since Jul 17, 1992 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
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
- W•••• F•••• A••••••• wirehouse currentsince Aug 31, 2018 · Newport Beach, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDOct 5, 2009 to Sep 10, 2018 · Los Angeles, Ca
- A••••••••• A•••••• S•••••••• I••• unclassifiedJun 25, 2003 to Oct 5, 2009 · Irvine, Ca
- C•••••• L•• independent RIAMar 10, 2003 to Jun 25, 2003 · Irvine, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Sep 10, 2018, registered Aug 31, 2018 (-10 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- A••••••••• A•••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 5, 2009, registered Oct 5, 2009 (0 days) · corporate re-registration, not a move
- C•••••• L•• to A••••••••• A•••••• S•••••••• I•••left Jun 25, 2003, registered Jun 25, 2003 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address