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Registered advisor
S•••• E•••••••• R•••
Feed of 09/14/2026
Also filed as S•••• E R•••
At current firm
1 y
since Mar 31, 2025
In the industry
24 y
since Apr 29, 2002 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S65, S63
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•• national BD currentsince Mar 31, 2025 · Austin, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 2, 2020 to Mar 31, 2025 · Tampa, Fl
- B•••••••• I••••••••• M••••••••• L•• asset managerMay 15, 2008 to Apr 7, 2017 · Princeton, Nj
- C•••• I••••••••• S••••••• C•••• formerOct 27, 2005 to Feb 28, 2008 · Sarasota, Fl
- C•••• I••••••••• S••••••• C•••• formerApr 22, 2005 to Jul 8, 2005 · Islip, Ny
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Mar 22, 2005 · Garden City, Ny
- Q•••• • R•••••• I••• unclassifiedMar 30, 2004 to Oct 20, 2004 · Garden City, Ny
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- B•••••••• I••••••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 7, 2017, registered Apr 2, 2020 (1091 days) · Other
- C•••• I••••••••• S••••••• C•••• to B•••••••• I••••••••• M••••••••• L••left Feb 28, 2008, registered May 15, 2008 (77 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••left Mar 22, 2005, registered Apr 22, 2005 (31 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address