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Registered advisor
A•••••• M•••• S•••••••••
Feed of 09/14/2026
Also filed as A•••••• M•••• W•••••
At current firm
1 y
since Dec 11, 2024
In the industry
25 y
since Apr 11, 2001 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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 Dec 11, 2024 · Houston, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDSep 10, 2015 to Sep 22, 2020 · Houston, Tx
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedSep 27, 2012 to Sep 17, 2015 · Houston, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDApr 16, 2001 to Jun 4, 2007 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••left Sep 22, 2020, registered Dec 11, 2024 (1541 days) · Affiliated broker-dealer or bank to another
- C•••••••• I••••••••• R••••••• A•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 17, 2015, registered Sep 10, 2015 (-7 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jun 4, 2007, registered Sep 27, 2012 (1942 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
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