T••••• C••••••••• R••

R•• C•••••• M••••••• L••national BDKirkland, Wa dual registrantIAPD 2665980

Feed of 09/14/2026

Also filed as C•••• R••

At current firm

3 y

since Jun 14, 2023

In the industry

22 y

since Aug 1, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

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

R•• C•••••• M••••••• L•• national BD current
since Jun 14, 2023 · Seattle, Wa
R•••••• J•••• • A••••••••• I••• national BD
Aug 20, 2021 to Jun 2, 2023 · St. Petersburg, Fl
N•••••••• I••••••••• C••••••••• I••• former
Jun 20, 2014 to Aug 12, 2021 · Seattle, Wa

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• • A••••••••• I••• to R•• C•••••• M••••••• L••
left Jun 2, 2023, registered Jun 14, 2023 (12 days) · Affiliated broker-dealer or bank to another
N•••••••• I••••••••• C••••••••• I••• to R•••••• J•••• • A••••••••• I•••
left Aug 12, 2021, registered Aug 20, 2021 (8 days) · channel change inside one enterprise, not a move

Signals

••• Locked
Jun 2, 2023 · 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: National broker-dealer RIAderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address