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Registered advisor
L••••••• E•••• S••••••••
Feed of 09/14/2026
Also filed as Larry S••••••••
At current firm
3 y
since Apr 25, 2023
In the industry
28 y
since Nov 13, 1997 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Apr 25, 2023 · Valencia, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMNov 23, 2010 to Apr 4, 2023 · Woodland Hls, Ca
- T• A••••••••• I••• formerDec 23, 2009 to Oct 21, 2010 · Thousand Oaks, Ca
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 23, 2009 to Oct 21, 2010 · Oxnard, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJul 1, 2009 to Dec 2, 2009 · Woodland Hls, Ca
- S•••••••• A••••••• L•• national BDNov 13, 2007 to Feb 18, 2009 · Thousand Oaks, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 5, 2005 to Oct 10, 2007 · Westlake Village, Ca
- M••••• S•••••• D• I••• unclassifiedAug 24, 1998 to Aug 9, 2005 · Woodland Hls, Ca
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to L•• F•••••••• L••left Apr 4, 2023, registered Apr 25, 2023 (21 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Oct 21, 2010, registered Dec 23, 2009 (-302 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 21, 2010, registered Dec 23, 2009 (-302 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to T• A••••••••• I•••left Dec 2, 2009, registered Dec 23, 2009 (21 days) · Other
- S•••••••• A••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Feb 18, 2009, registered Jul 1, 2009 (133 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to S•••••••• A••••••• L••left Oct 10, 2007, registered Nov 13, 2007 (34 days) · Other
- M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 9, 2005, registered Aug 5, 2005 (-4 days) · Other
Signals
- L••••••• E•••• S•••••••• left N••••••••• M••••• I••••••••• S••••••••• for L•• F•••••••• L•• (registered 2023-04-25)Apr 4, 2023 · Advisor changed firm · 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address