A••••• G••••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseDallas, Txdual registrantIAPD 4622993

Feed of 09/14/2026

Also filed as A••••• M••••••••• N• G••••••••• N••••• G••••••••• N•••••• G••••••

At current firm

3 y

since Feb 6, 2023

In the industry

21 y

since Nov 1, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since Feb 6, 2023 · Dallas, Tx
R•• C•••••• M••••••• L•• national BD
May 28, 2013 to Jan 18, 2023 · Newport Beach, Ca
M••••• S•••••• wirehouse
Mar 4, 2011 to Jun 19, 2013 · Irvine, Ca
M••••• S•••••• wirehouse
Jun 1, 2009 to Oct 8, 2009 · Irvine, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Apr 12, 2007 to Jun 1, 2009 · Irvine, Ca
M••••• S•••••• • C•• L•• unclassified
Apr 2, 2007 to Apr 9, 2007 · Irvine, Ca
M••••• S•••••• D• I••• unclassified
Nov 2, 2004 to Apr 2, 2007 · Santa Ana, Ca

Moves

a registration end followed by a registration begin elsewhere

R•• C•••••• M••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 18, 2023, registered Feb 6, 2023 (19 days) · Affiliated broker-dealer or bank to wirehouse
M••••• S•••••• to R•• C•••••• M••••••• L••
left Jun 19, 2013, registered May 28, 2013 (-22 days) · Wirehouse to affiliated broker-dealer or bank
C•••••••• G••••• M•••••• I••• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
M••••• S•••••• • C•• L•• to C•••••••• G••••• M•••••• I•••
left Apr 9, 2007, registered Apr 12, 2007 (3 days) · Other
M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move

Signals

••• Locked
Jan 18, 2023 · Advisor changed firm · 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: Wirehousederived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address