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Registered advisor
B•••• C••• F••••••
Feed of 09/14/2026
At current firm
0 y
since Feb 13, 2026
In the industry
31 y
since Jun 23, 1995 (earliest exam, job or registration)
Prior registered firms
6
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
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · Murrieta, Ca
- U••• B•••••• I••••••••• I••• formerNov 18, 2020 to Feb 13, 2026 · Saint Paul, Mn
- W•••• F•••• A••••••• wirehouseFeb 10, 2012 to Nov 23, 2020 · San Diego, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedMay 8, 2009 to Feb 21, 2012 · Hesperia, Ca
- W•••• F•••• A••••••• wirehouseSep 5, 2007 to May 8, 2009 · Irvine, Ca
- W••• I••••••••• I••• unclassifiedFeb 14, 2006 to Sep 4, 2007 · Hemet, Ca
- C•••••• S••••• • C••• I••• national BDApr 1, 2003 to Aug 26, 2003 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••left Nov 23, 2020, registered Nov 18, 2020 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- U••• B•••••• A•••••••• L•• to W•••• F•••• A•••••••left Feb 21, 2012, registered Feb 10, 2012 (-11 days) · Other
- W•••• F•••• A••••••• to U••• B•••••• A•••••••• L••left May 8, 2009, registered May 8, 2009 (0 days) · Other
- W••• I••••••••• I••• to W•••• F•••• A•••••••left Sep 4, 2007, registered Sep 5, 2007 (1 days) · Other
- C•••••• S••••• • C••• I••• to W••• I••••••••• I•••left Aug 26, 2003, registered Feb 14, 2006 (903 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