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Registered advisor
D••••• R• C•••••••
Feed of 09/14/2026
At current firm
1 y
since Nov 14, 2024
In the industry
21 y
since Sep 28, 2004 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Warrington, Pa
- P•••• S••••••••• L•• no RAUMJun 13, 2024 to Nov 14, 2024 · Exton, Pa
- C••• F•••••••• S•••••••• L••• formerMar 26, 2019 to Jul 31, 2020 · West Chester, Pa
- C••••••• S••••••••• I••• BD affiliatedJan 4, 2016 to Mar 1, 2018 · Plymouth Meeting, Pa
- P•••••••• S••••••••• I••• BD affiliatedSep 25, 2014 to Jan 11, 2016 · Wayne, Pa
- I••••• F•••••••• C••••••••• formerMay 15, 2013 to Jan 15, 2014 · Philadelphia, Pa
- I••••• F•••••••• C••••••••• formerOct 13, 2010 to Aug 11, 2011 · Philadelphia, Pa
- P•••••••• S••••••••• I••• BD affiliatedMar 11, 2008 to Dec 31, 2008 · Wilmington, De
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- C••• F•••••••• S•••••••• L••• to P•••• S••••••••• L••left Jul 31, 2020, registered Jun 13, 2024 (1413 days) · Affiliated broker-dealer or bank to another
- C••••••• S••••••••• I••• to C••• F•••••••• S•••••••• L•••left Mar 1, 2018, registered Mar 26, 2019 (390 days) · Affiliated broker-dealer or bank to another
- P•••••••• S••••••••• I••• to C••••••• S••••••••• I•••left Jan 11, 2016, registered Jan 4, 2016 (-7 days) · Other
- I••••• F•••••••• C••••••••• to P•••••••• S••••••••• I•••left Jan 15, 2014, registered Sep 25, 2014 (253 days) · Other
- P•••••••• S••••••••• I••• to I••••• F•••••••• C•••••••••left Dec 31, 2008, registered Oct 13, 2010 (651 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address