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Registered advisor

S•••••• H•••••••

E•••••• A••••••• G••••• L••BD affiliatedAlpharetta, Ga dual registrantIAPD 2588640

Feed of 09/15/2026

At current firm

1 y

since Dec 20, 2024

In the industry

31 y

since Apr 1, 1995 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, 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••••••• G••••• L•• BD affiliated current
since Dec 20, 2024 · Alpharetta, Ga
F••••••• P••••••• A•• W•••••••• A••••••• former
May 5, 2021 to Aug 29, 2024 · Smyrna, Ga
P•••• S••••••••• L•• no RAUM
Sep 20, 2018 to Nov 13, 2019 · Sherman Oaks, Ca
A••••••••• F•••••••• S•••••••• L•• national BD
Mar 15, 2018 to Jul 24, 2018 · Westlake Village, Ca
S•••••••• I••••••••• M••••••••• former
Jan 24, 2017 to Mar 8, 2018 · Saint Louis, Mo
T• A••••••••• I••• former
Dec 6, 2013 to Nov 11, 2015 · Honolulu, Hi
T• A••••••••• I••••••••• M••••••••• L•• former
Dec 6, 2013 to Nov 11, 2015 · Honolulu, Hi
A••••••••• F•••••••• S•••••••• L•• national BD
May 18, 1995 to Nov 19, 2013 · Honolulu, Hi

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to E•••••• A••••••• G••••• L••
left Aug 29, 2024, registered Dec 20, 2024 (113 days) · Affiliated broker-dealer or bank to another
P•••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Nov 13, 2019, registered May 5, 2021 (539 days) · Affiliated broker-dealer or bank to another
A••••••••• F•••••••• S•••••••• L•• to P•••• S••••••••• L••
left Jul 24, 2018, registered Sep 20, 2018 (58 days) · Affiliated broker-dealer or bank to another
S•••••••• I••••••••• M••••••••• to A••••••••• F•••••••• S•••••••• L••
left Mar 8, 2018, registered Mar 15, 2018 (7 days) · Affiliated broker-dealer or bank to another · moved with a team
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Nov 11, 2015, registered Dec 6, 2013 (-705 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Nov 11, 2015, registered Dec 6, 2013 (-705 days) · channel change inside one enterprise, not a move
A••••••••• F•••••••• S•••••••• L•• to T• A••••••••• I••••••••• M••••••••• L••
left Nov 19, 2013, registered Dec 6, 2013 (17 days) · Other

Signals

S•••••• H••••••• left F••••••• P••••••• A•• W•••••••• A••••••• for E•••••• A••••••• G••••• L•• (registered 2024-12-20)
Aug 29, 2024 · Advisor changed firm · 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: 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