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Registered advisor
B•••• A••••• S•••••••
Feed of 09/14/2026
At current firm
1 y
since Oct 31, 2024
In the industry
34 y
since Aug 10, 1992 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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 Oct 31, 2024 · Westlake Village, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Oct 31, 2024 · Thousand Oaks, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJul 9, 2009 to Jan 3, 2011 · Westlake Village, Ca
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Jul 2, 2009 · Agoura Hills, Ca
- W••• I••••••••• I••• unclassifiedFeb 23, 2006 to May 2, 2009 · Thousand Oaks, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Oct 31, 2024, registered Oct 31, 2024 (0 days) · channel change inside one enterprise, not a move
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• I••••••••• L••left Jul 2, 2009, registered Jul 9, 2009 (7 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (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
- Wirehousederived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address