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Registered advisor
D••• A••••• S•••••••
Feed of 09/14/2026
Also filed as S•••••••
At current firm
2 y
since Jan 19, 2024
In the industry
25 y
since Mar 19, 2001 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Torrance, Ca
- T••••••••• F•••••••• P••••••• unclassifiedAug 23, 2024 to Aug 11, 2026 · Torrance, Ca
- W••••••• F•••••••• S•••••••• I••• formerMar 1, 2019 to Jan 19, 2024 · Torrance, Ca
- Q•••••• A•••• M••••••••• I••• formerSep 5, 2014 to Mar 1, 2019 · Minneapolis, Mn
- S••••• F•••••••• G•••• I•• formerApr 17, 2009 to Sep 8, 2014 · Torrance, Ca
- L•• F•••••••• L•• BD affiliatedJul 1, 2004 to Apr 20, 2009 · Torrance, Ca
- W•••••• • R••• formerMar 27, 2001 to May 25, 2004 · Torrance, Ca
Moves
a registration end followed by a registration begin elsewhere
- T••••••••• F•••••••• P••••••• to no registered destinationleft Aug 11, 2026 · Departure, no registered destination
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- Q•••••• A•••• M••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Mar 1, 2019, registered Mar 1, 2019 (0 days) · corporate re-registration, not a move
- S••••• F•••••••• G•••• I•• to Q•••••• A•••• M••••••••• I•••left Sep 8, 2014, registered Sep 5, 2014 (-3 days) · Other
- L•• F•••••••• L•• to S••••• F•••••••• G•••• I••left Apr 20, 2009, registered Apr 17, 2009 (-3 days) · Other
- W•••••• • R••• to L•• F•••••••• L••left May 25, 2004, registered Jul 1, 2004 (37 days) · Other
Signals
- D••• A••••• S••••••• no longer registered at T••••••••• F•••••••• P•••••••; no later IA registration on IAPDAug 11, 2026 · Advisor departure · 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
- 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