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Registered advisor
A••••• D•••• M•••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
6 y
since Oct 4, 2019
In the industry
31 y
since Apr 28, 1995 (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
S66, 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
- C••••••••• F•••••••• N•••••• national BD currentsince Oct 4, 2019 · Monterey, Ca
- S•••••• N••••••• • C••••••• I••••••••• national BDAug 7, 2008 to Oct 11, 2019 · Monterey, Ca
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Aug 11, 2008 · Monterey, Ca
- A• G• E•••••• • S•••• I••• unclassifiedJul 8, 1997 to Jan 1, 2008 · Monterey, Ca
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to C••••••••• F•••••••• N••••••left Oct 11, 2019, registered Oct 4, 2019 (-7 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Aug 11, 2008, registered Aug 7, 2008 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address