T•••••••• S•••• L••

I••••••••• F•••••••• G••••• L••BD affiliatedDiamond Bar, Cadual registrantIAPD 2947638

Feed of 09/14/2026

Also filed as T•••••••• S• L••

At current firm

10 y

since Oct 12, 2015

In the industry

28 y

since Nov 25, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

I••••••••• F•••••••• G••••• L•• BD affiliated current
since Oct 12, 2015 · Diamond Bar, Ca
V••• F•••••••• A•••••••• I••• BD affiliated
Jan 11, 2010 to Oct 19, 2015 · San Gabriel, Ca
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Sep 11, 2007 to Feb 2, 2009 · Pasadena, Ca
E•••••••• A•••••••• L•• national BD
Oct 24, 2005 to Sep 20, 2007 · Hacienda Heights, Ca
C••••••• I••••••••• S••••••• unclassified
Feb 14, 2005 to Oct 5, 2005 · Monterey Park, Ca
U•• I••••••••• I••• unclassified
Jul 5, 2002 to Jan 13, 2005 · Los Angeles, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 14, 1998 to Jul 31, 2002 · City Of Industry, Ca

Moves

a registration end followed by a registration begin elsewhere

V••• F•••••••• A•••••••• I••• to I••••••••• F•••••••• G••••• L••
left Oct 19, 2015, registered Oct 12, 2015 (-7 days) · Other · moved with a team
B••• O• A•••••• I••••••••• S•••••••• I••• to V••• F•••••••• A•••••••• I•••
left Feb 2, 2009, registered Jan 11, 2010 (343 days) · Other
E•••••••• A•••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Sep 20, 2007, registered Sep 11, 2007 (-9 days) · Other
C••••••• I••••••••• S••••••• to E•••••••• A•••••••• L••
left Oct 5, 2005, registered Oct 24, 2005 (19 days) · Other
U•• I••••••••• I••• to C••••••• I••••••••• S•••••••
left Jan 13, 2005, registered Feb 14, 2005 (32 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• I••••••••• I•••
left Jul 31, 2002, registered Jul 5, 2002 (-26 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address