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Registered advisor
S•••• C•••••••• R•••••
Feed of 09/14/2026
At current firm
10 y
since Nov 13, 2015
In the industry
28 y
since May 4, 1998 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63, S65
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 Nov 13, 2015 · Los Angeles, Ca
- H••• S••••••••• •••• I••• BD affiliatedAug 3, 2011 to Aug 8, 2014 · Beverly Hills, Ca
- C••••••• S••••••••• formerJun 18, 2009 to Jul 15, 2011 · Los Angeles, Ca
- U•• F•••••••• S••••••• I••• wirehouseNov 26, 2001 to Dec 20, 2002 · Beverly Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- H••• S••••••••• •••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 8, 2014, registered Nov 13, 2015 (462 days) · Other
- C••••••• S••••••••• to H••• S••••••••• •••• I•••left Jul 15, 2011, registered Aug 3, 2011 (19 days) · Other
- U•• F•••••••• S••••••• I••• to C••••••• S•••••••••left Dec 20, 2002, registered Jun 18, 2009 (2372 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address