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Registered advisor
E••• A• D•••••
Feed of 09/14/2026
Also filed as E••• Andrew D•••••
At current firm
1 y
since Mar 31, 2025
In the industry
25 y
since Apr 25, 2001 (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
S63, 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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · West Des Moines, Ia
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 29, 2021 to Mar 31, 2025 · West Des Moines, Ia
- C•••••• S••••• • C••• I••• national BDAug 3, 2016 to Aug 27, 2019 · West Des Moines, Ia
- M••••• S•••••• wirehouseSep 11, 2015 to Jul 29, 2016 · West Des Moines, Ia
- S••••• W••••• A•••••••• I••• no RAUMJan 3, 2012 to Jul 14, 2015 · Lone Tree, Co
- C•••••• S••••• • C••• I••• national BDNov 13, 2007 to Dec 31, 2011 · Englewood, Co
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 27, 2019, registered Jul 29, 2021 (702 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to C•••••• S••••• • C••• I•••left Jul 29, 2016, registered Aug 3, 2016 (5 days) · Wirehouse to affiliated broker-dealer or bank
- S••••• W••••• A•••••••• I••• to M••••• S••••••left Jul 14, 2015, registered Sep 11, 2015 (59 days) · Other
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left Dec 31, 2011, registered Jan 3, 2012 (3 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address