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Registered advisor
C•••• A•••••• W•••
Feed of 09/15/2026
At current firm
4 y
since Dec 15, 2021
In the industry
32 y
since Oct 19, 1993 (earliest exam, job or registration)
Prior registered firms
5
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
- L•• F•••••••• L•• BD affiliated currentsince Dec 15, 2021 · San Diego, Ca
- S••••••••• A•••••• A•••••••• I••• formerOct 27, 2017 to Dec 21, 2021 · Huntington Beach, Ca
- T•• E•••• F•••••••• N••••••• I••• unclassifiedAug 19, 2010 to Aug 22, 2011 · Huntington Beach, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMay 1, 2009 to Nov 2, 2017 · Huntington Beach, Ca
- T•• E•••• F•••••••• N••••••• I••• unclassifiedJul 31, 2008 to Dec 31, 2009 · Huntington Beach, Ca
- O•••• W•••••• I••• BD affiliatedAug 11, 2005 to May 4, 2009 · Orange, Ca
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Dec 21, 2021, registered Dec 15, 2021 (-6 days) · corporate re-registration, not a move
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to T•• E•••• F•••••••• N••••••• I•••left Nov 2, 2017, registered Aug 19, 2010 (-2632 days) · Other · moved with a team
- T•• E•••• F•••••••• N••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Aug 22, 2011, registered Oct 27, 2017 (2258 days) · Other
- T•• E•••• F•••••••• N••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Dec 31, 2009, registered May 1, 2009 (-244 days) · Other
- O•••• W•••••• I••• to T•• E•••• F•••••••• N••••••• I•••left May 4, 2009, registered Jul 31, 2008 (-277 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address