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Registered advisor
C•••••• E•••••••• M••••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as C•••••• E•••••••• Shutter
At current firm
8 y
since Apr 9, 2018
In the industry
21 y
since Feb 14, 2005 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
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••••••• P••••••• independent RIA currentsince Apr 9, 2018 · Littleton, Co
- A••••• A•• P••••••• S••••••• BD affiliatedAug 18, 2016 to Oct 12, 2017 · Tucson, Az
- E•••••• C•••••• M••••••••• L•• formerNov 19, 2015 to May 24, 2016 · Washington, Dc
- S•••••••• A••••••• L•• national BDAug 30, 2011 to Jan 27, 2015 · Tucson, Az
- M••••• S•••••• wirehouseMay 7, 2010 to Jun 27, 2011 · Tucson, Az
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 2, 2007 to Apr 26, 2010 · Tucson, Az
Moves
a registration end followed by a registration begin elsewhere
- A••••• A•• P••••••• S••••••• to C••••••• P•••••••left Oct 12, 2017, registered Apr 9, 2018 (179 days) · Other
- E•••••• C•••••• M••••••••• L•• to A••••• A•• P••••••• S•••••••left May 24, 2016, registered Aug 18, 2016 (86 days) · Other
- S•••••••• A••••••• L•• to E•••••• C•••••• M••••••••• L••left Jan 27, 2015, registered Nov 19, 2015 (296 days) · Other
- M••••• S•••••• to S•••••••• A••••••• L••left Jun 27, 2011, registered Aug 30, 2011 (64 days) · Wirehouse to affiliated broker-dealer or bank
- M•• I•••••••• S•••••••• L•• to M••••• S••••••left Apr 26, 2010, registered May 7, 2010 (11 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
- Independent wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address