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Registered advisor
F•••• F•••••• A••••••
Feed of 09/14/2026
Also filed as F•••• F•••••• A••••••••• A••••••••• O••••••••• F•••••• A••••••••• F•••••• A•••••••
At current firm
14 y
since Aug 3, 2012
In the industry
34 y
since Sep 23, 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
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
- M••••• S•••••• wirehouse currentsince Aug 3, 2012 · Cupertino, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Aug 6, 2012 · San Jose, Ca
- W•••• F•••• I••••••••• L•• unclassifiedMay 28, 2004 to Jan 3, 2011 · San Jose, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 12, 1998 to Jun 1, 2004 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M••••• S••••••left Aug 6, 2012, registered Aug 3, 2012 (-3 days) · Wirehouse to wirehouse
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• I••••••••• L••left Jun 1, 2004, registered May 28, 2004 (-4 days) · Other
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