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Registered advisor
D••• A••••• E••••••••
Feed of 09/15/2026
Also filed as David A••••• E••••••••
At current firm
3 y
since May 25, 2023
In the industry
30 y
since Aug 28, 1996 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince May 25, 2023 · Chandler, Az
- T• A••••••••• I••• formerOct 4, 2021 to Oct 14, 2022 · Chandler, Az
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 4, 2021 to Sep 7, 2023 · Chandler, Az
- C•••••• S••••• • C••• I••• national BDApr 2, 2008 to Sep 30, 2021 · Cottonwood Heights, Ut
- S•••••••• A••••••• L•• national BDJul 29, 2005 to Aug 2, 2006 · Salt Lake City, Ut
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered May 25, 2023 (-105 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Oct 4, 2021 (-375 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to T• A••••••••• I•••left Sep 30, 2021, registered Oct 4, 2021 (4 days) · channel change inside one enterprise, not a move
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Aug 2, 2006, registered Apr 2, 2008 (609 days) · Affiliated broker-dealer or bank to another
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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address