C•••••• J•••• S•••

U••• B•••••• A•••••••• L••BD affiliatedLos Angeles, Cadual registrantIAPD 2707050

Feed of 09/14/2026

Also filed as C••• J•••• S•••

At current firm

0 y

since Feb 13, 2026

In the industry

30 y

since Apr 26, 1996 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U••• B•••••• A•••••••• L•• BD affiliated current
since Feb 13, 2026 · Los Angeles, Ca
U••• B•••••• I••••••••• I••• former
Nov 28, 2023 to Feb 13, 2026 · Downey, Ca
C••••• I••••••••• A••••••• L•• BD affiliated
Nov 30, 2016 to Nov 6, 2023 · Los Angeles, Ca
L•• F•••••••• L•• BD affiliated
Nov 3, 2014 to Dec 13, 2016 · Los Angeles, Ca
H••• S••••••••• •••• I••• BD affiliated
Mar 10, 2009 to Apr 7, 2014 · Pasadena, Ca
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Jan 10, 2003 to Jan 29, 2009 · Camarillo, Ca
P••••••••• E••••• G••••• L•• unclassified
Nov 29, 1999 to Nov 21, 2002 · San Francisco, 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
C••••• I••••••••• A••••••• L•• to U••• B•••••• I••••••••• I•••
left Nov 6, 2023, registered Nov 28, 2023 (22 days) · Affiliated broker-dealer or bank to another · moved with a team
L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••
left Dec 13, 2016, registered Nov 30, 2016 (-13 days) · Other · moved with a team
H••• S••••••••• •••• I••• to L•• F•••••••• L••
left Apr 7, 2014, registered Nov 3, 2014 (210 days) · Other
B••• O• A•••••• I••••••••• S•••••••• I••• to H••• S••••••••• •••• I•••
left Jan 29, 2009, registered Mar 10, 2009 (40 days) · Other
P••••••••• E••••• G••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Nov 21, 2002, registered Jan 10, 2003 (50 days) · Other

Signals

••• Locked
Nov 6, 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: Broker-dealer affiliated wealth managerderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address