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Registered advisor
D••• A•••• C••••••
Feed of 09/14/2026
Also filed as D••• A C••••••
At current firm
8 y
since Nov 29, 2017
In the industry
32 y
since Dec 21, 1993 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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 Nov 29, 2017 · White Bear Lake, Mn
- I••••••••• C•••••• O• A••••••• I••• formerNov 24, 2014 to Nov 29, 2017 · Harris, Mn
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Nov 24, 2014 · White Bear Lake, Mn
- C••••• I••••••••• S••••••• L•• formerJan 9, 2014 to Jan 21, 2014 · White Bear Lake, Mn
Moves
a registration end followed by a registration begin elsewhere
- I••••••••• C•••••• O• A••••••• I••• to L•• F•••••••• L••left Nov 29, 2017, registered Nov 29, 2017 (0 days) · corporate re-registration, not a move
- C••••• I••••••••• A••••••• L•• to I••••••••• C•••••• O• A••••••• I•••left Nov 24, 2014, registered Nov 24, 2014 (0 days) · Other
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
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