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RIA Intelligence

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Registered advisor

W••••• R••• N•••••

C•••••• S••••• • C••• I•••national BDSeattle, Wadual registrantIAPD 4823721

Feed of 09/14/2026

Also filed as W••••• R••• N••••••••• R••• N••••••••• N••••••••• R• N•••••

At current firm

5 y

since Apr 26, 2021

In the industry

21 y

since Sep 28, 2004 (earliest exam, job or registration)

Prior registered firms

2

IAPD previous registrations

State registrations

2

current, as an IAR

Firms today

1

current registrations

Exams

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

C•••••• S••••• • C••• I••• national BD current
since Apr 26, 2021 · Seattle, Wa
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 24, 2017 to Apr 5, 2021 · Shelton, Ct
C•••••• S••••• • C••• I••• national BD
Apr 15, 2014 to Oct 16, 2017 · Pittsburgh, Pa

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••
left Apr 5, 2021, registered Apr 26, 2021 (21 days) · Wirehouse to affiliated broker-dealer or bank
C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 16, 2017, registered Oct 24, 2017 (8 days) · Affiliated broker-dealer or bank to wirehouse

Signals

No dated event on this person.

Transition signals

Mobility scoring is not published yet.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: National broker-dealer RIAderived
Years in industry: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address