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Feed of 09/15/2026
At current firm
8 y
since Nov 6, 2017
In the industry
34 y
since Sep 2, 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
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•• BD affiliated currentsince Nov 6, 2017 · Dublin, Ca
- S•••••••• F••••••••• I••• formerJan 6, 2015 to Nov 9, 2017 · Dublin, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerFeb 23, 2009 to Mar 31, 2014 · Livermore, Ca
- W•••• F•••• A••••••• wirehouseAug 14, 2007 to Dec 26, 2008 · Concord, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 23, 2002 to Jun 4, 2007 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• F••••••••• I••• to S••left Nov 9, 2017, registered Nov 6, 2017 (-3 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to S•••••••• F••••••••• I•••left Mar 31, 2014, registered Jan 6, 2015 (281 days) · Other
- W•••• F•••• A••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Dec 26, 2008, registered Feb 23, 2009 (59 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Jun 4, 2007, registered Aug 14, 2007 (71 days) · Other
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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address