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Registered advisor
C••• A•••• T•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as C••• A T•••••
At current firm
5 y
since Apr 27, 2021
In the industry
27 y
since Oct 7, 1998 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
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•• F•••••••• L•• BD affiliated currentsince Apr 27, 2021 · Del Mar, Ca
- U•• F•••••••• S••••••• I••• wirehouseJan 15, 2013 to May 13, 2021 · San Diego, Ca
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 6, 2013 · San Diego, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 17, 2007 to Jun 1, 2009 · San Diego, Ca
- R•• F•••••••• N••••••• L••••• unclassifiedApr 19, 2004 to Feb 22, 2006 · Omaha, Ne
- R•••••• J• L•••• C••••••••• I••• unclassifiedOct 24, 2003 to Aug 22, 2007 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to L•• F•••••••• L••left May 13, 2021, registered Apr 27, 2021 (-16 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Feb 6, 2013, registered Jan 15, 2013 (-22 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- R•••••• J• L•••• C••••••••• I••• to R•• F•••••••• N••••••• L•••••left Aug 22, 2007, registered Apr 19, 2004 (-1220 days) · Other
- R•• F•••••••• N••••••• L••••• to C•••••••• G••••• M•••••• I•••left Feb 22, 2006, registered Aug 17, 2007 (541 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