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Registered advisor
D•••• T••••
Feed of 09/15/2026
Also filed as D•••• Tien-En T••••
At current firm
7 y
since Jun 18, 2019
In the industry
31 y
since Apr 10, 1995 (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
- H••• S••••••••• •••• I••• BD affiliated currentsince Jun 18, 2019 · Fremont, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 27, 2018 to Jun 11, 2019 · San Francisco, Ca
- T• A••••••••• I••• formerFeb 27, 2018 to Aug 31, 2018 · Fremont, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Aug 31, 2018 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerJan 25, 2017 to Feb 26, 2018 · Saint Louis, Mo
- H••• S••••••••• •••• I••• BD affiliatedAug 29, 2013 to May 26, 2016 · Fremont, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Jul 22, 2013 · San Jose, Ca
- C••••••• I••••••••• S••••••• unclassifiedJan 3, 2006 to May 29, 2007 · San Jose, Ca
- C•••••• S••••• • C••• I••• national BDJul 8, 1997 to Mar 4, 2003 · Milpitas, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to H••• S••••••••• •••• I•••left Jun 11, 2019, registered Jun 18, 2019 (7 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Aug 31, 2018, registered Feb 27, 2018 (-185 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••• to C•••••••• G••••• M•••••• I•••left Aug 31, 2018, registered Sep 27, 2018 (27 days) · Other
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- H••• S••••••••• •••• I••• to S•••••••• I••••••••• M•••••••••left May 26, 2016, registered Jan 25, 2017 (244 days) · Other
- C•••••••• G••••• M•••••• I••• to H••• S••••••••• •••• I•••left Jul 22, 2013, registered Aug 29, 2013 (38 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to C••••••• I••••••••• S•••••••left Mar 4, 2003, registered Jan 3, 2006 (1036 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