N•••••• A••••

U•• F•••••••• S••••••• I•••wirehouseBeverly Hills, Ca dual registrantIAPD 2779047

Feed of 09/15/2026

Also filed as N•• A••••

At current firm

22 y

since Sep 3, 2004

In the industry

28 y

since Aug 28, 1998 (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

U•• F•••••••• S••••••• I••• wirehouse current
since Sep 3, 2004 · Anna Maria, Fl
W•••• F•••• A••••••• wirehouse
Jul 1, 2003 to Sep 20, 2004 · Rolling Hills Estates, Ca
P••••••••• E••••• G••••• L•• unclassified
Oct 26, 1998 to Jul 1, 2003 · Long Beach, Ca

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••
left Sep 20, 2004, registered Sep 3, 2004 (-17 days) · Wirehouse to wirehouse
P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move

Signals

No dated event on this person.

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: Wirehousederived
Years in industry: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address