G••• E••••• S•••••••

C••••••••• F•••••••• N••••••national BDWestlake, Ohdual registrantIAPD 4186573

Feed of 09/14/2026

At current firm

3 y

since Apr 17, 2023

In the industry

26 y

since Aug 30, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••••• F•••••••• N•••••• national BD current
since Apr 17, 2023 · Westlake, Oh
C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
Oct 9, 2007 to May 4, 2023 · Westlake, Oh
A••••••••• A•••••• S•••••••• I••• unclassified
Jun 30, 2003 to Oct 11, 2007 · Westlake, Oh

Moves

a registration end followed by a registration begin elsewhere

C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••••••• F•••••••• N••••••
left May 4, 2023, registered Apr 17, 2023 (-17 days) · Affiliated broker-dealer or bank to another · moved with a team
A••••••••• A•••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left Oct 11, 2007, registered Oct 9, 2007 (-2 days) · Other

Signals

••• Locked
May 4, 2023 · a•••••• firm change · fact

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: National broker-dealer RIAderived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address