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Registered advisor
C••••••••• N••• W•••••••
R•••••• J•••• F•••••••• S••••••• A•••••••• I••BD affiliatedSolana Beach, Ca dual registrantIAPD 4022436
Certified Financial Planner
Feed of 09/15/2026
Also filed as Chris N William
At current firm
6 y
since Jul 29, 2020
In the industry
26 y
since Jul 31, 2000 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jul 29, 2020 · Solana Beach, Ca
- W•••• F•••• A••••••• wirehouseFeb 10, 2011 to Jul 30, 2020 · Salt Lake City, Ut
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 9, 2011 · Salt Lake City, Ut
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 15, 2005 to Jun 1, 2009 · Salt Lake City, Ut
- M••••• S•••••• D• I••• unclassifiedJan 8, 2001 to Aug 22, 2005 · Salt Lk City, Ut
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 30, 2020, registered Jul 29, 2020 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to W•••• F•••• A•••••••left Mar 9, 2011, registered Feb 10, 2011 (-27 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to C•••••••• G••••• M•••••• I•••left Aug 22, 2005, registered Aug 15, 2005 (-7 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