P••• L•••• S••••••

S•••••••• A••••••• L••national BDBellevue, Wa dual registrantIAPD 2401905

Feed of 09/14/2026

Also filed as P••• L•••• S••••••••• L• S••••••••• S••••••

At current firm

1 y

since Mar 31, 2025

In the industry

32 y

since Oct 7, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · Bellevue, Wa
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 22, 2024 to Mar 31, 2025 · Redmond, Wa
C•••••• S••••• • C••• I••• national BD
Jan 25, 2022 to Jan 9, 2024 · Bellevue, Wa
T• A••••••••• I••••••••• M••••••••• L•• former
Jul 17, 2017 to Sep 7, 2023 · Bellevue, Wa
T• A••••••••• I••• former
Jul 17, 2017 to Oct 14, 2022 · Bellevue, Wa
T• A••••••••• I••• former
Oct 20, 2016 to Jun 21, 2017 · Draper, Ut
T• A••••••••• I••••••••• M••••••••• L•• former
Oct 20, 2016 to Jun 21, 2017 · Draper, Ut
C•••••• S••••• • C••• I••• national BD
Jul 18, 2012 to Oct 1, 2015 · Tacoma, Wa
S•••••••• A••••••• L•• national BD
Jan 19, 2011 to Jun 27, 2012 · Salt Lake City, Ut

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jan 9, 2024, registered Jul 22, 2024 (195 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Sep 7, 2023, registered Jan 25, 2022 (-590 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered Jul 17, 2017 (-1915 days) · corporate re-registration, not a move
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Jun 21, 2017, registered Oct 20, 2016 (-244 days) · channel change inside one enterprise, not a move · moved with a team
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Jun 21, 2017, registered Oct 20, 2016 (-244 days) · Other
C•••••• S••••• • C••• I••• to T• A••••••••• I•••
left Oct 1, 2015, registered Oct 20, 2016 (385 days) · Other
S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••
left Jun 27, 2012, registered Jul 18, 2012 (21 days) · Affiliated broker-dealer or bank to another

Signals

••• Locked
Jan 9, 2024 · 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: National broker-dealer RIAderived
Years in industry: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address