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Feed of 09/14/2026
Also filed as S•••••• B•••
At current firm
3 y
since Apr 19, 2023
In the industry
33 y
since May 11, 1993 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Apr 19, 2023 · Santa Fe, Nm
- O••••••••• • C•• I••• BD affiliatedOct 16, 2019 to Mar 24, 2023 · Bellevue, Wa
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 27, 2018 · Salem, Or
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 4, 2008 to Jun 1, 2009 · Salem, Or
- R•• C•••••• M••••••• L•• national BDApr 22, 2002 to Sep 11, 2008 · Portland, Or
Moves
a registration end followed by a registration begin elsewhere
- O••••••••• • C•• I••• to M••••• S••••••left Mar 24, 2023, registered Apr 19, 2023 (26 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to O••••••••• • C•• I•••left Aug 27, 2018, registered Oct 16, 2019 (415 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- R•• C•••••• M••••••• L•• to C•••••••• G••••• M•••••• I•••left Sep 11, 2008, registered Sep 4, 2008 (-7 days) · Other
Signals
- S•••••• L•• B••• left O••••••••• • C•• I••• for M••••• S•••••• (registered 2023-04-19)Mar 24, 2023 · Advisor changed firm · fact
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address