S••••• A•••••• T•••••

C•••••• S••••• • C••• I•••national BDCottonwood Heights, Utdual registrantIAPD 4730207

Certified Financial Planner

Feed of 09/14/2026

Also filed as S•• T•••••

At current firm

2 y

since Sep 26, 2023

In the industry

22 y

since Jan 28, 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

C•••••• S••••• • C••• I••• national BD current
since Sep 26, 2023 · Cottonwood Heights, Ut
M••••• S•••••• wirehouse
Jan 12, 2023 to Sep 22, 2023 · Sandy, Ut
E•••••• C•••••• M••••••••• L•• former
Jun 14, 2010 to Sep 5, 2023 · Arlington, Va
C•••••• C•••• F•••••••• P•••••••• I••• unclassified
Jan 1, 2008 to Dec 31, 2009 · San Luis Obispo, Ca
L•• F•••••••• L•• BD affiliated
Oct 30, 2007 to Mar 4, 2010 · Novato, Ca
A• G• E•••••• • S•••• I••• unclassified
Jan 30, 2004 to Oct 26, 2007 · Arroyo Grande, Ca

Moves

a registration end followed by a registration begin elsewhere

M••••• S•••••• to C•••••• S••••• • C••• I•••
left Sep 22, 2023, registered Sep 26, 2023 (4 days) · Wirehouse to affiliated broker-dealer or bank
E•••••• C•••••• M••••••••• L•• to M••••• S••••••
left Sep 5, 2023, registered Jan 12, 2023 (-236 days) · corporate re-registration, not a move
L•• F•••••••• L•• to C•••••• C•••• F•••••••• P•••••••• I•••
left Mar 4, 2010, registered Jan 1, 2008 (-793 days) · Other
C•••••• C•••• F•••••••• P•••••••• I••• to E•••••• C•••••• M••••••••• L••
left Dec 31, 2009, registered Jun 14, 2010 (165 days) · Other
A• G• E•••••• • S•••• I••• to L•• F•••••••• L••
left Oct 26, 2007, registered Oct 30, 2007 (4 days) · Other

Signals

S••••• A•••••• T••••• left M••••• S•••••• for C•••••• S••••• • C••• I••• (registered 2023-09-26)
Sep 22, 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: National broker-dealer RIAderived
Years in industry: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address