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Registered advisor
C•••• A••• S••••••
Personal Financial Specialist
Feed of 09/14/2026
At current firm
1 y
since Sep 5, 2025
In the industry
39 y
since Sep 1, 1987 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 5, 2025 · Frankston, Tx
- A•••••• A••••••• S••••••• formerAug 4, 2009 to Sep 5, 2025 · Dallas, Tx
- G•••••••• F••••••••• I•• unclassifiedOct 5, 2004 to Aug 20, 2009 · Palestine, Tx
- S•••••• • A••••••••• P•••• C••• unclassifiedJul 30, 2003 to Aug 19, 2009 · Palestine, Tx
Moves
a registration end followed by a registration begin elsewhere
- A•••••• A••••••• S••••••• to C••••• I••••••••• A••••••• L••left Sep 5, 2025, registered Sep 5, 2025 (0 days) · corporate re-registration, not a move
- G•••••••• F••••••••• I•• to A•••••• A••••••• S•••••••left Aug 20, 2009, registered Aug 4, 2009 (-16 days) · Other
- S•••••• • A••••••••• P•••• C••• to G•••••••• F••••••••• I••left Aug 19, 2009, registered Oct 5, 2004 (-1779 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address