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Registered advisor
R•••••• C••• S•••••
Feed of 09/15/2026
Also filed as Rick S•••••
At current firm
0 y
since Feb 13, 2026
In the industry
32 y
since Dec 17, 1993 (earliest exam, job or registration)
Prior registered firms
8
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
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · Liberty Township, Oh
- U••• B•••••• I••••••••• I••• formerFeb 2, 2017 to Feb 13, 2026 · Cincinnati, Oh
- M•• F•••••••• S•••••••• I••• formerDec 8, 2015 to Oct 14, 2016 · Cincinnati, Oh
- A•••••• A••••••• S••••••• formerDec 20, 2012 to Dec 19, 2013 · Nashua, Nh
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 25, 2012 to Nov 1, 2012 · Nashua, Nh
- A••••••••• F•••••••• S•••••••• L•• national BDAug 30, 2010 to May 21, 2012 · Bedford, Nh
- C••••••• S••••••••• I••• BD affiliatedNov 6, 2007 to Sep 3, 2010 · Portsmouth, Nh
- C••••• I••••••••• S••••••• L•• formerNov 20, 2006 to Oct 16, 2007 · Nashua, Nh
- I••• S••••••••• I••• unclassifiedSep 18, 2006 to Nov 10, 2006 · South Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- M•• F•••••••• S•••••••• I••• to U••• B•••••• I••••••••• I•••left Oct 14, 2016, registered Feb 2, 2017 (111 days) · Other
- A•••••• A••••••• S••••••• to M•• F•••••••• S•••••••• I•••left Dec 19, 2013, registered Dec 8, 2015 (719 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A•••••• A••••••• S•••••••left Nov 1, 2012, registered Dec 20, 2012 (49 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 21, 2012, registered May 25, 2012 (4 days) · Affiliated broker-dealer or bank to wirehouse
- C••••••• S••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 3, 2010, registered Aug 30, 2010 (-4 days) · Other
- C••••• I••••••••• S••••••• L•• to C••••••• S••••••••• I•••left Oct 16, 2007, registered Nov 6, 2007 (21 days) · Other
- I••• S••••••••• I••• to C••••• I••••••••• S••••••• L••left Nov 10, 2006, registered Nov 20, 2006 (10 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