S•••• R•••••• C••••••

S•••••• N••••••• • C••••••• I•••••••••national BDRochester, Mndual registrantIAPD 2457316

Feed of 09/14/2026

At current firm

5 y

since Oct 27, 2020

In the industry

32 y

since Apr 27, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••• N••••••• • C••••••• I••••••••• national BD current
since Oct 27, 2020 · Rochester, Mn
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Oct 30, 2020 · Stewartville, Mn
W•••• F•••• I••••••••• L•• unclassified
Dec 21, 2007 to Jan 3, 2011 · Rochester, Mn

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••
left Oct 30, 2020, registered Oct 27, 2020 (-3 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (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: 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