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G•••••••• M•• P•••••
Registered advisorat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· Bellevue, WaIAPD 2778141
As of · the IAPD feed; also filed as G••• P••••••••• M•• P••••••••• M• P•••••
- At current firm
- 9 y
- In the industry
- 28 y
- Prior registered firms
- 4
- Signals
- 0
since Oct 5, 2016
As of · the IAPD feed; also filed as G••• P••••••••• M•• P••••••••• M• P•••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Oct 5, 2016 · Bellevue, Wa
- W•••• F•••• A••••••• wirehouseJun 24, 2013 to Oct 4, 2016 · Seattle, Wa
- M••••• S•••••• wirehouseJun 1, 2009 to May 20, 2013 · Seattle, Wa
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Seattle, Wa
- M••••• S•••••• D• I••• unclassifiedJun 22, 2006 to Apr 2, 2007 · Seattle, Wa
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Oct 4, 2016, registered Oct 5, 2016 (1 day) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left May 20, 2013, registered Jun 24, 2013 (35 days) · Wirehouse to wirehouse
- 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address