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Registered advisor
S•••••••• L••• H•••
Feed of 09/14/2026
Also filed as S•••••••• M••••••••• L••• S••••••••• L••• S•• O••••••••• L••• S• O•••
At current firm
10 y
since Apr 13, 2016
In the industry
20 y
since Jan 24, 2006 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 13, 2016 · Pleasanton, Ca
- W•••• F•••• A••••••• wirehouseNov 20, 2013 to Mar 29, 2016 · Walnut Creek, Ca
- S•••••• N••••••• • C••••••• I••••••••• national BDDec 21, 2011 to Dec 18, 2012 · Walnut Creek, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 27, 2010 · Oakland, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Oakland, Ca
- M••••• S•••••• D• I••• unclassifiedJan 25, 2006 to Apr 2, 2007 · Pleasanton, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 29, 2016, registered Apr 13, 2016 (15 days) · Wirehouse to wirehouse
- S•••••• N••••••• • C••••••• I••••••••• to W•••• F•••• A•••••••left Dec 18, 2012, registered Nov 20, 2013 (337 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Aug 27, 2010, registered Dec 21, 2011 (481 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address