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Registered advisor
E•••••• U••••
Feed of 09/15/2026
At current firm
6 y
since Apr 13, 2020
In the industry
26 y
since Dec 22, 1999 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
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
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Apr 13, 2020 · Whittier, Ca
- W•••• F•••• A••••••• wirehouseApr 1, 2016 to Feb 5, 2020 · Los Angeles, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 1, 2011 to Apr 18, 2016 · Pasadena, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jun 22, 2011 · Westlake Village, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedApr 9, 2007 to Oct 23, 2009 · Oxnard, Ca
- W••• I••••••••• I••• unclassifiedOct 18, 2005 to Apr 3, 2007 · Oxnard, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJul 1, 2004 to Oct 7, 2005 · Orange, Ca
- C••••• I••••••••• S••••••• L•• formerMar 28, 2003 to Jun 18, 2004 · Santa Barbara, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 31, 2000 to Aug 21, 2002 · Santa Barbara, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Feb 5, 2020, registered Apr 13, 2020 (68 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Apr 18, 2016, registered Apr 1, 2016 (-17 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Jun 22, 2011, registered Jul 1, 2011 (9 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- W••• I••••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Apr 3, 2007, registered Apr 9, 2007 (6 days) · Other
- W•••• F•••• I••••••••• L•• to W••• I••••••••• I•••left Oct 7, 2005, registered Oct 18, 2005 (11 days) · Other
- C••••• I••••••••• S••••••• L•• to W•••• F•••• I••••••••• L••left Jun 18, 2004, registered Jul 1, 2004 (13 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••• I••••••••• S••••••• L••left Aug 21, 2002, registered Mar 28, 2003 (219 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address