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Registered advisor
C••••••••• M•••••• R•••••
Feed of 09/14/2026
Also filed as Chris R•••••
At current firm
5 y
since Nov 12, 2020
In the industry
23 y
since Sep 8, 2003 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Nov 12, 2020 · San Diego, Ca
- F•••• A••••• A••••••• S•••••••• I••• formerJul 2, 2012 to Nov 12, 2020 · San Diego, Ca
- F•••• A••••• S••••••••• I••• formerDec 11, 2009 to Jul 2, 2012 · San Diego, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMOct 4, 2007 to May 9, 2008 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedMay 10, 2005 to May 15, 2007 · San Diego, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDNov 24, 2003 to Apr 16, 2004 · Rockford, Il
Moves
a registration end followed by a registration begin elsewhere
- F•••• A••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to F•••• A••••• S••••••••• I•••left May 9, 2008, registered Dec 11, 2009 (581 days) · Other
- L•• F•••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left May 15, 2007, registered Oct 4, 2007 (142 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Apr 16, 2004, registered May 10, 2005 (389 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address