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Registered advisor

R••••• D••••• S••••

L•• F•••••••• L••BD affiliatedSan Diego, Ca dual registrantIAPD 2748975

Feed of 09/15/2026

Also filed as Rob S••••

At current firm

1 y

since May 15, 2025

In the industry

26 y

since Mar 1, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since May 15, 2025 · San Diego, Ca
C••• F•••••••• S•••••••• L••• former
Oct 13, 2023 to May 15, 2025 · Allen, Tx
L•• F•••••••• L•• BD affiliated
May 18, 2022 to Jun 15, 2023 · Allen, Tx
C••• B•••••••• S•••••••• I••• former
Jul 25, 2013 to May 18, 2022 · Waverly, Ia

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••
left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••
left Jun 15, 2023, registered Oct 13, 2023 (120 days) · Affiliated broker-dealer or bank to another
C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••
left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move

Signals

R••••• D••••• S•••• left L•• F•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-10-13)
Jun 15, 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address