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Registered advisor
C•••••• R•••• L•••
Feed of 09/14/2026
Also filed as C•••••• Herrera R••••
At current firm
6 y
since Sep 18, 2020
In the industry
26 y
since Sep 11, 2000 (earliest exam, job or registration)
Prior registered firms
2
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
- S•••••••• A•••••••• L•• BD affiliated currentsince Sep 18, 2020 · San Antonio, Tx
- U•• F•••••••• S••••••• I••• wirehouseJan 16, 2009 to Sep 29, 2020 · San Antonio, Tx
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 27, 2000 to Feb 5, 2009 · San Antonio, Tx
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to S•••••••• A•••••••• L••left Sep 29, 2020, registered Sep 18, 2020 (-11 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Feb 5, 2009, registered Jan 16, 2009 (-20 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