J•••• A••• R•••••

• U••• B•••••• A•••••••• L•• BD affiliated current
  since Feb 13, 2026 · Fountain Valley, Ca
• U••• B•••••• I••••••••• I••• former
  Mar 6, 2015 to Feb 13, 2026 · Saint Paul, Mn
• J••• M••••• S••••••••• L•• wirehouse
  Oct 1, 2012 to Mar 19, 2015 · Santa Ana, Ca
• C•••• I••••••••• S••••••• C•••• former
  May 2, 2009 to Oct 1, 2012 · Redondo Beach, Ca
• W••• I••••••••• I••• unclassified
  Apr 11, 2007 to May 2, 2009 · Redondo Beach, Ca
• P•••• S••••••••• L•• no RAUM
  Sep 28, 2004 to Jan 9, 2006 · El Segundo, Ca

• U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
  left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
• J••• M••••• S••••••••• L•• to U••• B•••••• I••••••••• I•••
  left Mar 19, 2015, registered Mar 6, 2015 (-13 days) · Other · moved with a team
• C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
  left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
• W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••
  left May 2, 2009, registered May 2, 2009 (0 days) · corporate re-registration, not a move
• P•••• S••••••••• L•• to W••• I••••••••• I•••
  left Jan 9, 2006, registered Apr 11, 2007 (457 days) · Other

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.

Source

IAPD individual compilation feedreportedadviserinfo.sec.gov

Firm class

Broker-dealer affiliated wealth managerderived

Years in industry

22derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address