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Registered advisor
C•••••••• P••••
Feed of 09/14/2026
Also filed as C•••••••• Suk-Yee Kwan
At current firm
15 y
since Mar 4, 2011
In the industry
29 y
since Dec 16, 1996 (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
S65, 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Mar 4, 2011 · Pasadena, Ca
- H••• S••••••••• •••• I••• BD affiliatedJul 13, 2010 to Mar 1, 2011 · Pasadena, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 7, 2005 to Dec 1, 2008 · Pasadena, Ca
- E•••• N••••••• S••••••••• I••• formerMay 23, 2005 to Sep 12, 2005 · Los Angeles, Ca
- C••••••• I••••••••• S••••••• unclassifiedApr 14, 2003 to Apr 18, 2005 · Pasadena, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 12, 1998 to Apr 11, 2003 · Pasadena, Ca
Moves
a registration end followed by a registration begin elsewhere
- H••• S••••••••• •••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 1, 2011, registered Mar 4, 2011 (3 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to H••• S••••••••• •••• I•••left Dec 1, 2008, registered Jul 13, 2010 (589 days) · Other
- E•••• N••••••• S••••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Sep 12, 2005, registered Oct 7, 2005 (25 days) · Other
- C••••••• I••••••••• S••••••• to E•••• N••••••• S••••••••• I•••left Apr 18, 2005, registered May 23, 2005 (35 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••••••• I••••••••• S•••••••left Apr 11, 2003, registered Apr 14, 2003 (3 days) · Other
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address