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Registered advisor
C•••• D•••••• R•••
Feed of 09/14/2026
Also filed as C•••• D•••••• R•••••••• R•••
At current firm
2 y
since Mar 21, 2024
In the industry
25 y
since May 1, 2001 (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
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••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Spokane Valley, Wa
- L•• F•••••••• L•• BD affiliatedDec 17, 2010 to May 22, 2017 · Spokane, Wa
- N••••••••• M••••• I••••••••• S••••••••• no RAUMFeb 11, 2010 to Jun 9, 2010 · Spokane Valley, Wa
- A••••••••• F•••••••• S•••••••• L•• national BDOct 11, 2007 to Nov 6, 2009 · Spokane, Wa
- W••• I••••••••• I••• unclassifiedFeb 25, 2005 to Aug 21, 2006 · Spokane, Wa
- A••••••••• F•••••••• S•••••••• L•• national BDJul 13, 2001 to Feb 2, 2005 · Denver, Co
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left May 22, 2017, registered Mar 21, 2024 (2495 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to L•• F•••••••• L••left Jun 9, 2010, registered Dec 17, 2010 (191 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Nov 6, 2009, registered Feb 11, 2010 (97 days) · Other
- W••• I••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Aug 21, 2006, registered Oct 11, 2007 (416 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to W••• I••••••••• I•••left Feb 2, 2005, registered Feb 25, 2005 (23 days) · Other
Signals
No dated event on this person.
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address