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R••••• M•••••• T••••••••
Managing Director/Investmentsat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· Newport Beach, CaIAPD 4854160
As of · the IAPD feed; also filed as M•••••• T••••••••
- At current firm
- 10 y
- In the industry
- 21 y
- Prior registered firms
- 3
- Signals
- 0
since Feb 12, 2016
As of · the IAPD feed; also filed as M•••••• T••••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Professional profileWhat is shown hereOnly business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
title, designations and roles as the firm prints them
- Title
- Managing Director/Investmentsreportedstifel.comfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Feb 12, 2016 · Newport Beach, Ca
- W•••• F•••• A••••••• wirehouseSep 21, 2009 to Feb 16, 2016 · Beverly Hills, Ca
- U•• F•••••••• S••••••• I••• wirehouseAug 11, 2006 to Oct 1, 2009 · Beverly Hills, Ca
- M••••• S•••••• D• I••• unclassifiedDec 9, 2004 to Aug 14, 2006 · Santa Monica, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Feb 16, 2016, registered Feb 12, 2016 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Oct 1, 2009, registered Sep 21, 2009 (-10 days) · Wirehouse to wirehouse
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Aug 14, 2006, registered Aug 11, 2006 (-3 days) · Other
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