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Registered advisor
S•••••• C•••• W•••••••
Feed of 09/14/2026
At current firm
1 y
since Mar 10, 2025
In the industry
28 y
since Jan 1, 1998 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Mar 10, 2025 · Scottsdale, Az
- C••••• I••••••••• A••••••• L•• BD affiliatedNov 12, 2020 to Mar 13, 2025 · Ontario, Ca
- F•••• A••••• A••••••• S•••••••• I••• formerOct 13, 2015 to Nov 12, 2020 · Ontario, Ca
- E•••••••• A•••••••• L•• national BDNov 30, 2000 to Oct 15, 2015 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Mar 13, 2025, registered Mar 10, 2025 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- F•••• A••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to F•••• A••••• A••••••• S•••••••• I•••left Oct 15, 2015, registered Oct 13, 2015 (-2 days) · Other
Signals
- S•••••• C•••• W••••••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2025-03-10)Mar 13, 2025 · Advisor changed firm · fact
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address