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Registered advisor
C•••••• S• H•••••
Feed of 09/14/2026
Also filed as C•••••• S••••••••• S•••••• H••••••••• S••••••••• S•••••• H••••••••• S•••••• H•••••
At current firm
13 y
since Apr 8, 2013
In the industry
29 y
since Sep 19, 1997 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 8, 2013 · San Jose, Ca
- P••• A••••• S••••••••• L•• BD affiliatedMay 5, 2006 to Mar 22, 2013 · Sacramento, Ca
- M••••• S•••••• D• I••• unclassifiedAug 24, 1998 to Jan 10, 2006 · Sacramento, Ca
Moves
a registration end followed by a registration begin elsewhere
- P••• A••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 22, 2013, registered Apr 8, 2013 (17 days) · Other
- M••••• S•••••• D• I••• to P••• A••••• S••••••••• L••left Jan 10, 2006, registered May 5, 2006 (115 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
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