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Registered advisor
A•• E•••••••• B••••••
Feed of 09/14/2026
Also filed as A•• E•••••••• B••••••
At current firm
1 y
since Nov 14, 2024
In the industry
27 y
since Oct 9, 1998 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
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•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Rochester, Ny
- P•••• S••••••••• L•• no RAUMDec 2, 2020 to Nov 14, 2024 · Pittsford, Ny
- J• W• C••• A•••••••• I••• BD affiliatedMay 18, 2015 to Dec 15, 2020 · Carlsbad, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedApr 18, 2013 to May 19, 2015 · Encinitas, Ca
- W••• S••••• F•••••••• G••••• I•• formerJan 27, 2005 to Apr 17, 2013 · Encinitas, Ca
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- J• W• C••• A•••••••• I••• to P•••• S••••••••• L••left Dec 15, 2020, registered Dec 2, 2020 (-13 days) · RIA to affiliated broker-dealer or bank
- I••••••••• F•••••••• G••••• L•• to J• W• C••• A•••••••• I•••left May 19, 2015, registered May 18, 2015 (-1 days) · Other
- W••• S••••• F•••••••• G••••• I•• to I••••••••• F•••••••• G••••• L••left Apr 17, 2013, registered Apr 18, 2013 (1 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address