T•••••• J•••• H••••••••

U••• B•••••• A•••••••• L••BD affiliatedIrvine, Cadual registrantIAPD 3090032

Feed of 09/14/2026

Also filed as T•••••• J•••• H••••••••• H••••••••• H••••••••

At current firm

0 y

since Feb 13, 2026

In the industry

23 y

since Feb 28, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U••• B•••••• A•••••••• L•• BD affiliated current
since Feb 13, 2026 · Irvine, Ca
U••• B•••••• I••••••••• I••• former
Nov 20, 2023 to Feb 13, 2026 · Irvine, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 17, 2019 to Oct 16, 2023 · Newport Beach, Ca
J••• M••••• S••••••••• L•• wirehouse
Feb 17, 2011 to May 15, 2012 · Los Angeles, Ca
M••••• S•••••• wirehouse
Jun 3, 2009 to Mar 31, 2010 · Laguna Niguel, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Sep 13, 2005 to Jan 24, 2008 · Denver, Co
A••••••• S•••••• A••••••• S•••••••• I••• unclassified
Feb 28, 2003 to Sep 30, 2003 · Shelton, Ct

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• B•••••• I••••••••• I•••
left Oct 16, 2023, registered Nov 20, 2023 (35 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left May 15, 2012, registered Oct 17, 2019 (2711 days) · Wirehouse to wirehouse
M••••• S•••••• to J••• M••••• S••••••••• L••
left Mar 31, 2010, registered Feb 17, 2011 (323 days) · Wirehouse to wirehouse
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jan 24, 2008, registered Jun 3, 2009 (496 days) · Other
A••••••• S•••••• A••••••• S•••••••• I••• to C•••••••• G••••• M•••••• I•••
left Sep 30, 2003, registered Sep 13, 2005 (714 days) · Other

Signals

••• Locked
Oct 16, 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: 23derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address