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Registered advisor
S•••• E••••• A••••••••
Certified Financial Planner
Feed of 09/15/2026
At current firm
3 y
since Aug 10, 2023
In the industry
25 y
since Jul 1, 2001 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Aug 10, 2023 · Minneapolis, Mn
- S••••••• F•••••••• S•••••••• I••• formerJul 19, 2007 to Aug 10, 2023 · Minneapolis, Mn
- C•• S••••••••• L•• formerJul 19, 2007 to Oct 19, 2021 · Minneapolis, Mn
- M••••••• A•••••••• I•• unclassifiedMay 22, 2006 to Dec 31, 2007 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- S••••••• F•••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Aug 10, 2023, registered Aug 10, 2023 (0 days) · corporate re-registration, not a move
- C•• S••••••••• L•• to S••••••• F•••••••• S•••••••• I•••left Oct 19, 2021, registered Jul 19, 2007 (-5206 days) · corporate re-registration, not a move
- M••••••• A•••••••• I•• to C•• S••••••••• L••left Dec 31, 2007, registered Jul 19, 2007 (-165 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address