J•••• B•••• C••••••

C•••••• S••••• • C••• I•••national BDWestlake, Txdual registrantIAPD 4219497

Certified Financial Planner · Chartered Financial Consultant

Feed of 09/14/2026

At current firm

5 y

since Jul 7, 2021

In the industry

25 y

since Oct 9, 2000 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• S••••• • C••• I••• national BD current
since Jul 7, 2021 · Westlake, Tx
S••••• W••••• A•••••••• I••• no RAUM
Oct 8, 2018 to Jul 9, 2021 · Westlake, Tx
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Sep 25, 2018 · Boston, Ma
S•••••••• A••••••• L•• national BD
Aug 2, 2011 to Jul 13, 2018 · Westlake, Tx
T• A••••••••• I••• former
Apr 1, 2010 to May 31, 2011 · Westlake, Tx
T• A••••••••• I••••••••• M••••••••• L•• former
Apr 1, 2010 to May 31, 2011 · Ft Worth, Tx
S•••••••• A••••••• L•• national BD
Dec 6, 2004 to Mar 9, 2010 · Westlake, Tx
W•••• F•••• I••••••••• L•• unclassified
Oct 10, 2003 to Oct 30, 2003 · Arlington, Tx
A• G• E•••••• • S•••• I••• unclassified
Jul 2, 2002 to Dec 18, 2002 · Arlington, Tx

Moves

a registration end followed by a registration begin elsewhere

S••••• W••••• A•••••••• I••• to C•••••• S••••• • C••• I•••
left Jul 9, 2021, registered Jul 7, 2021 (-2 days) · channel change inside one enterprise, not a move
F••••••• P••••••• A•• W•••••••• A••••••• to S••••• W••••• A•••••••• I•••
left Sep 25, 2018, registered Oct 8, 2018 (13 days) · Affiliated broker-dealer or bank to another
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left May 31, 2011, registered Apr 1, 2010 (-425 days) · Other
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left May 31, 2011, registered Apr 1, 2010 (-425 days) · channel change inside one enterprise, not a move
S•••••••• A••••••• L•• to T• A••••••••• I•••
left Mar 9, 2010, registered Apr 1, 2010 (23 days) · Affiliated broker-dealer or bank to a newly registered adviser
W•••• F•••• I••••••••• L•• to S•••••••• A••••••• L••
left Oct 30, 2003, registered Dec 6, 2004 (403 days) · Other
A• G• E•••••• • S•••• I••• to W•••• F•••• I••••••••• L••
left Dec 18, 2002, registered Oct 10, 2003 (296 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: National broker-dealer RIAderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address