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Registered advisor
D••••• C••••••••• Q•••
Feed of 09/15/2026
Also filed as D••••• Q•••
At current firm
3 y
since Jul 19, 2023
In the industry
29 y
since Sep 4, 1997 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
5
current, as an IAR
Firms today
1
current registrations
Exams
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
- L•• F•••••••• L•• BD affiliated currentsince Jul 19, 2023 · Cupertino, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerMar 22, 2011 to Jul 25, 2023 · Saratoga, Ca
- U••• B•••••• I••••••••• I••• formerJun 2, 2010 to Mar 18, 2011 · Los Altos, Ca
- W•••• F•••• A••••••• wirehouseDec 18, 2007 to Apr 27, 2010 · San Jose, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerOct 17, 2006 to Dec 14, 2007 · Burlingame, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 3, 2002 to Jul 11, 2005 · San Mateo, Ca
- M••••• S•••••• D• I••• unclassifiedAug 24, 1998 to Jul 18, 2002 · Oakland, Ca
Moves
a registration end followed by a registration begin elsewhere
- B••••••• I••••••••• S•••••••• I••• ••••• to L•• F•••••••• L••left Jul 25, 2023, registered Jul 19, 2023 (-6 days) · corporate re-registration, not a move
- U••• B•••••• I••••••••• I••• to B••••••• I••••••••• S•••••••• I••• •••••left Mar 18, 2011, registered Mar 22, 2011 (4 days) · Other
- W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••left Apr 27, 2010, registered Jun 2, 2010 (36 days) · Other
- B••••••• I••••••••• S•••••••• I••• ••••• to W•••• F•••• A•••••••left Dec 14, 2007, registered Dec 18, 2007 (4 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••••• I••••••••• S•••••••• I••• •••••left Jul 11, 2005, registered Oct 17, 2006 (463 days) · Other
- M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 18, 2002, registered Jul 3, 2002 (-15 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
- 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