S••••• R••••• H•••••

A••••••• A••••••• S•••••••• L••BD affiliatedLincoln, Ne dual registrantIAPD 2893663

Feed of 09/14/2026

Also filed as S••••• R••••• H•••••

At current firm

3 y

since Oct 5, 2022

In the industry

29 y

since Aug 1, 1997 (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

A••••••• A••••••• S•••••••• L•• BD affiliated current
since Oct 5, 2022 · Omaha, Ne
S••••••••• A•••••• A•••••••• I••• former
Jul 26, 2018 to Sep 26, 2022 · La Vista, Ne
L•• F•••••••• L•• BD affiliated
Feb 9, 2015 to Jul 24, 2018 · Wheatland, Ca
W•••• F•••• A••••••• wirehouse
Feb 20, 2008 to Nov 7, 2014 · Roseville, Ca
E•••••••• A••••••• I•• unclassified
Jan 26, 2006 to Sep 26, 2007 · Roseville, Ca
A• G• E•••••• • S•••• I••• unclassified
Jan 2, 2004 to Mar 16, 2004 · Sacramento, Ca
A••••••••• A•••••• S•••••••• I••• unclassified
Jun 25, 2003 to Jan 8, 2004 · Citrus Heights, Ca
U•• F•••••••• S••••••• I••• wirehouse
Jul 7, 1998 to Feb 5, 2003 · Sacramento, Ca

Moves

a registration end followed by a registration begin elsewhere

S••••••••• A•••••• A•••••••• I••• to A••••••• A••••••• S•••••••• L••
left Sep 26, 2022, registered Oct 5, 2022 (9 days) · Affiliated broker-dealer or bank to another
L•• F•••••••• L•• to S••••••••• A•••••• A•••••••• I•••
left Jul 24, 2018, registered Jul 26, 2018 (2 days) · RIA to affiliated broker-dealer or bank
W•••• F•••• A••••••• to L•• F•••••••• L••
left Nov 7, 2014, registered Feb 9, 2015 (94 days) · Other
E•••••••• A••••••• I•• to W•••• F•••• A•••••••
left Sep 26, 2007, registered Feb 20, 2008 (147 days) · Other
A• G• E•••••• • S•••• I••• to E•••••••• A••••••• I••
left Mar 16, 2004, registered Jan 26, 2006 (681 days) · Other
A••••••••• A•••••• S•••••••• I••• to A• G• E•••••• • S•••• I•••
left Jan 8, 2004, registered Jan 2, 2004 (-6 days) · Other
U•• F•••••••• S••••••• I••• to A••••••••• A•••••• S•••••••• I•••
left Feb 5, 2003, registered Jun 25, 2003 (140 days) · Other

Signals

S••••• R••••• H••••• left S••••••••• A•••••• A•••••••• I••• for A••••••• A••••••• S•••••••• L•• (registered 2022-10-05)
Sep 26, 2022 · a•••••• firm change · fact

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: Broker-dealer affiliated wealth managerderived
Years in industry: 29derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address