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Registered advisor
P•••••• C• D••••••
Feed of 09/14/2026
Also filed as P•••••• Carl D••••••
At current firm
15 y
since Jul 28, 2011
In the industry
26 y
since Aug 23, 2000 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
33
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
- P••• A••••• S••••••••• L•• BD affiliated currentsince Jul 28, 2011 · Houston, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 30, 2010 to Jul 1, 2011 · Houston, Tx
- I••••••••• P••••••••• I••• formerSep 4, 2009 to Jul 13, 2010 · San Antonio, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDAug 23, 2000 to Sep 14, 2009 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••left Jul 1, 2011, registered Jul 28, 2011 (27 days) · Other
- I••••••••• P••••••••• I••• to M•• I•••••••• S•••••••• L••left Jul 13, 2010, registered Jul 30, 2010 (17 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to I••••••••• P••••••••• I•••left Sep 14, 2009, registered Sep 4, 2009 (-10 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