S••••• S•••••

E•••••••• A•••••••• L••national BDSandwich, Ildual registrantIAPD 2584747

Feed of 09/14/2026

Also filed as S••••• K••••••••• M•••• S•••••

At current firm

0 y

since Nov 3, 2025

In the industry

25 y

since Jan 19, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••••••• A•••••••• L•• national BD current
since Nov 3, 2025 · Sandwich, Il
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 29, 2023 to Nov 5, 2025 · Sandwich, Il
C••••• A•••••• N••••••• L•• former
Aug 13, 2020 to Jun 29, 2023 · Westlake, Oh
E••••• J•••• national BD
Oct 30, 2015 to Aug 11, 2020 · Sandwich, Il
M••••• S•••••• • C•• L•• unclassified
Apr 2, 2007 to Mar 3, 2009 · Lisle, Il
M••••• S•••••• D• I••• unclassified
May 22, 2001 to Apr 2, 2007 · Lisle, Il

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to E•••••••• A•••••••• L••
left Nov 5, 2025, registered Nov 3, 2025 (-2 days) · Affiliated broker-dealer or bank to another
C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••
left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move
E••••• J•••• to C••••• A•••••• N••••••• L••
left Aug 11, 2020, registered Aug 13, 2020 (2 days) · Affiliated broker-dealer or bank to another
M••••• S•••••• • C•• L•• to E••••• J••••
left Mar 3, 2009, registered Oct 30, 2015 (2432 days) · Other
M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move

Signals

••• Locked
Nov 5, 2025 · a•••••• firm change · fact

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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address