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Registered advisor
M••• F•••••• C••••••
Feed of 09/14/2026
Also filed as M••• F•••••• C••••••
At current firm
2 y
since Jan 19, 2024
In the industry
27 y
since Mar 12, 1999 (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
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · San Marcos, Ca
- W••••••• F•••••••• S•••••••• I••• formerDec 1, 2016 to Jan 19, 2024 · Carlsbad, Ca
- S••••••••• A•••••• A•••••••• I••• formerMay 27, 2014 to Dec 1, 2016 · Carlsbad, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedMar 6, 2012 to May 30, 2014 · Carlsbad, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerSep 2, 2011 to Mar 12, 2012 · Encinitas, Ca
- M•• F•••••••• S•••••••• I••• formerApr 15, 2009 to Nov 19, 2009 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- S••••••••• A•••••• A•••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Dec 1, 2016, registered Dec 1, 2016 (0 days) · Other · moved with a team
- U••• B•••••• A•••••••• L•• to S••••••••• A•••••• A•••••••• I•••left May 30, 2014, registered May 27, 2014 (-3 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to U••• B•••••• A•••••••• L••left Mar 12, 2012, registered Mar 6, 2012 (-6 days) · Other
- M•• F•••••••• S•••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Nov 19, 2009, registered Sep 2, 2011 (652 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address