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Registered advisor

S•••• T••••••• C•••

C•••••• S••••• • C••• I•••national BDCupertino, Cadual registrantIAPD 3181028

Feed of 09/14/2026

Also filed as S•••• T•• L••• C••••••••• T•••••• C••••••••• T••••••• C••••••••• T••••••• T••••••• C•••

At current firm

4 y

since Jan 26, 2022

In the industry

27 y

since Jun 2, 1999 (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

S66, 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

C•••••• S••••• • C••• I••• national BD current
since Jan 26, 2022 · Cupertino, Ca

T• A••••••••• I••••••••• M••••••••• L•• former
Sep 1, 2011 to Sep 7, 2023 · Cupertino, Ca
T• A••••••••• I••• former
Sep 1, 2011 to Oct 14, 2022 · Cupertino, Ca
U•• F•••••••• S••••••• I••• wirehouse
Dec 7, 2010 to Sep 6, 2011 · Palo Alto, Ca
C•••••• S••••• • C••• I••• national BD
Mar 21, 2001 to Dec 17, 2010 · San Mateo, Ca

Moves

a registration end followed by a registration begin elsewhere

T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered Sep 1, 2011 (-4061 days) · corporate re-registration, not a move
U•• F•••••••• S••••••• I••• to T• A••••••••• I•••
left Sep 6, 2011, registered Sep 1, 2011 (-5 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
C•••••• S••••• • C••• I••• to U•• F•••••••• S••••••• I•••
left Dec 17, 2010, registered Dec 7, 2010 (-10 days) · Affiliated broker-dealer or bank to wirehouse

Signals

No dated event on this person.

Transition signals

Mobility scoring is not published yet.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: National broker-dealer RIAderived
Years in industry: 27derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address