A•• L••• D••••

U••• B•••••• A•••••••• L••BD affiliatedSaint Paul, Mn dual registrantIAPD 3187577

Feed of 09/14/2026

Also filed as A•• L••• O•••••••• L••• J••••••

At current firm

0 y

since Jan 14, 2026

In the industry

27 y

since Mar 2, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

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 Jan 14, 2026 · Saint Paul, Mn
U••• B•••••• I••••••••• I••• former
Aug 30, 2010 to Oct 6, 2015 · Saint Louis, Mo
C•••• I••••••••• S••••••• C•••• former
Jul 6, 2005 to Aug 2, 2010 · Lexington, Ky
B••• O•• S••••••••• C••••••••• unclassified
Apr 11, 2002 to Jul 6, 2005 · Lexington, Ky

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
left Oct 6, 2015, registered Jan 14, 2026 (3753 days) · Other
C•••• I••••••••• S••••••• C•••• to U••• B•••••• I••••••••• I•••
left Aug 2, 2010, registered Aug 30, 2010 (28 days) · Other
B••• O•• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••
left Jul 6, 2005, registered Jul 6, 2005 (0 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: 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