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Registered advisor
R•• A••• S••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
13 y
since Feb 8, 2013
In the industry
31 y
since Sep 28, 1994 (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
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
- L•• F•••••••• L•• BD affiliated currentsince Feb 8, 2013 · Concord, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerFeb 18, 2009 to Feb 11, 2013 · Walnut Creek, Ca
- S••••••• F•••••••• S•••••••• I••• unclassifiedSep 30, 2004 to Jun 3, 2013 · Walnut Creek, Ca
- O•••• W•••••• I••• BD affiliatedJun 25, 2004 to Mar 4, 2009 · Walnut Creek, Ca
Moves
a registration end followed by a registration begin elsewhere
- S••••••• F•••••••• S•••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Jun 3, 2013, registered Feb 18, 2009 (-1566 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Feb 11, 2013, registered Feb 8, 2013 (-3 days) · Other
- O•••• W•••••• I••• to S••••••• F•••••••• S•••••••• I•••left Mar 4, 2009, registered Sep 30, 2004 (-1616 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address