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Registered advisor
G•••••••• S•••••
Feed of 09/14/2026
Also filed as Gwen S•••••
At current firm
1 y
since Nov 8, 2024
In the industry
14 y
since Dec 28, 2011 (earliest exam, job or registration)
Prior registered firms
4
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
- O•••• A••••••• S•••••••• L•• BD affiliated currentsince Nov 8, 2024 · Surprise, Az
- A•••• P•••• A••••••• formerOct 30, 2017 to Nov 8, 2024 · Port Orange, Fl
- S••••••••• A•••••• A•••••••• I••• formerJun 13, 2014 to Jun 30, 2021 · Port Orange, Fl
- D••••• S•••••••• I••••••••• S••••••• I••• unclassifiedAug 21, 2012 to Jun 5, 2014 · Port Orange, Fl
- Q•••••• A•••• M••••••••• I••• formerJan 27, 2012 to Aug 6, 2012 · Port Orange, Fl
Moves
a registration end followed by a registration begin elsewhere
- A•••• P•••• A••••••• to O•••• A••••••• S•••••••• L••left Nov 8, 2024, registered Nov 8, 2024 (0 days) · corporate re-registration, not a move
- S••••••••• A•••••• A•••••••• I••• to A•••• P•••• A•••••••left Jun 30, 2021, registered Oct 30, 2017 (-1339 days) · channel change inside one enterprise, not a move
- D••••• S•••••••• I••••••••• S••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Jun 5, 2014, registered Jun 13, 2014 (8 days) · Other
- Q•••••• A•••• M••••••••• I••• to D••••• S•••••••• I••••••••• S••••••• I•••left Aug 6, 2012, registered Aug 21, 2012 (15 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address