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Registered advisor
P•••••• A•••••• C••••••••
Feed of 09/14/2026
Also filed as P•••••• A C••••••••
At current firm
16 y
since Feb 8, 2010
In the industry
33 y
since Apr 12, 1993 (earliest exam, job or registration)
Prior registered firms
1
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
- L•• F•••••••• L•• BD affiliated currentsince Feb 8, 2010 · San Clemente, Ca
- N•• A•••••• S•••••••• L•• formerNov 14, 2000 to Feb 5, 2010 · Santa Monica, Ca
Moves
a registration end followed by a registration begin elsewhere
- N•• A•••••• S•••••••• L•• to L•• F•••••••• L••left Feb 5, 2010, registered Feb 8, 2010 (3 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address