S•••• D•••• G•••••

Feed of 09/14/2026

At current firm

1 y

since Oct 1, 2024

In the industry

26 y

since Sep 27, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••• W•••••• I••• BD affiliated
Jan 19, 2024 to Oct 14, 2024 · Tempe, Az
W••••••• F•••••••• S•••••••• I••• former
Mar 1, 2019 to Jan 19, 2024 · Tempe, Az
Q•••••• A•••• M••••••••• I••• former
Jan 27, 2005 to Mar 1, 2019 · Tempe, Az
Q•••••• C•••••• C••••••••• unclassified
Aug 26, 2004 to Dec 31, 2005 · Phoenix, Az

Moves

a registration end followed by a registration begin elsewhere

O•••• W•••••• I••• to L•• F•••••••• L••
left Oct 14, 2024, registered Oct 1, 2024 (-13 days) · Affiliated broker-dealer or bank to another · moved with a team
W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••
left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
Q•••••• A•••• M••••••••• I••• to W••••••• F•••••••• S•••••••• I•••
left Mar 1, 2019, registered Mar 1, 2019 (0 days) · corporate re-registration, not a move
Q•••••• C•••••• C••••••••• to Q•••••• A•••• M••••••••• I•••
left Dec 31, 2005, registered Jan 27, 2005 (-338 days) · corporate re-registration, not a move

Signals

Transition signals

Mobility scoring is not published yet.

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