A Financial Advisor In California
Certified Financial Planner
This advisor's name
Career history, every move, licensing and registration changes, outside business activity and the contact routes the firm publishes, each with the official record linked.
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Career timeline
2 registrations on the IAPD feed since 2007 · 0 years at Wells Fargo Advisors · 1 move
- In the industry from Jul 17, 1998first exam or registration; firm not on the adviser feed
- Edward Jones broker-dealer
- Wells Fargo Advisors broker-dealer, current
Hover or tap a bar or a marker for its dates.
- Moved from Edward Jones to Wells Fargo Advisors on Oct 29, 2026; registered at the new firm 1 day before the old registration closed (the two overlap on the record).
From the SEC IAPD registration record, as of Oct 31, 2026. Earlier registrations can be on the full IAPD record without being on this feed.
Recruiter brief
How to read thisEvery line is a fact from a public record, or a measurement DFX made on the registration history of every advisor (2023 to 2025 cohorts), read for this advisor’s own firm where the sample allows. A move indicator means advisors with that fact moved more often; a retention indicator means they moved less. Neither says what this person will do. Recruiting value and movement evidence are kept apart on purpose.- Practice attractivenesssomedesignations Certified Financial Planner; 28.2 years in the industry
- Team depthnone0 of the 0 people who once moved firms with this advisor are registered here now (a team seen in registrations; web team pages are not used until they pass review).
- Entrepreneurial profilenoneNamed in the full brief.
- Real estate activitynoneNamed in the full brief.
- Contactabilityweakno contact route found
- Movement signalnone0 of 0 dated or circumstantial readings historically went with moving. The forward-tested move model places this advisor in its Baseline band.
- Recent change activitynoneNamed in the full brief.
- Independence preparationnoneNo concrete evidence of preparation for independence.
- Historical mobilitynone0 prior firms. Patterns that went with staying: fifteen or more years at the current firm.
- 28.3 years in the industry
- 19.5 years at the current firm
- 0 prior registered firms on the full IAPD career record (1 on the registration history this page lists)
- retention indicatorfifteen or more years at the current firmAt Edward Jones, 1.1% with this moved within a year, against 3.3% without it (0.32x, 2023 to 2025 cohorts).
- Registered in 2 states (firm median 2)
- Exams: Series 63, Series 66
- Designations: Certified Financial Planner
- Registered as a broker as well as an adviser
- No recent movement observed around this advisor.
In the full brief, with the official record linked.
+4 details in the full brief
The named explanations, the practice profile, what stands out and the conversation themes, with the official record linked.
7 days of DFX Intelligence free, then $199/month unless canceled. A card is taken when the trial starts.
Relationship network
2 connected entities1 observed movemoves 2026
From SEC IAPD registrations, the moves between them, and advisors linked by a move made together, a team or an office. Every link was checked against the filed record before it was published.
- Organization
›How strength and recency are read
Firms are read from the registration record: current, or prior with its dates. People are ordered by how they are linked: a move made together first, then a team, an earlier independent RIA, and the same office. A link says who knows whom, not who plans to move.
Darker lines were active in the last 24 months or are current; lighter lines are older or undated.
Licenses and regulatory record
About this sectionExams with the date each was passed, every state registration with its date, and each disclosure with its type, date and resolution, from the SEC’s IAPD record for this person. For someone registered as a broker too, that record carries the broker side as well.BrokerCheck is not read: FINRA’s terms restrict systematic downloading. Designations are the five IAPD publishes (CFP, CFA, ChFC, PFS, CIC); others the advisor’s own bio lists are in the profile.Series 63, 66State exams from the daily feed. FINRA exams and dates appear once the full IAPD record is read.
Designations: CFP (Certified Financial Planner)
Needs the full IAPD record.
DFX has not read this advisor’s full IAPD record yet. open the official record
Registration history
- Wells Fargo Advisors BD affiliated currentsince Oct 29, 2026 · Annapolis, Md
- Edward Jones national BDMar 22, 2007 to Oct 30, 2026 · Crescent City, Ca
Moves
- Edward Jones to Wells Fargo Advisorsleft Oct 30, 2026, registered Oct 29, 2026 (registered at the new firm 1 day before the old registration closed (the two overlap on the record)) · Affiliated broker-dealer or bank to another
Signals
- Oct 30, 2026 · Advisor changed firm · fact
Transition signals
What these will draw onThe 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.No combined mobility score is published yet. The signals above are on record, each with its own history and base rate.
The RIA market
Provenance
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28.3 yderivedfrom the earlier of the first exam and the first registration on IAPD
- Not published
- disclosure flags, the raw outside business text and any address in it, personal outside activities, branch street addressoutside businesses appear above as structured facts, reviewed, with a short quote