C••••••••• C••••

• S•••••••• A••••••• L•• national BD current
  since Mar 31, 2025 · Cupertino, Ca
• F••••••• P••••••• A•• W•••••••• A••••••• former
  Dec 23, 2020 to Mar 31, 2025 · Campbell, Ca
• M•• I•••••••• S•••••••• L•• BD affiliated
  Mar 24, 2020 to Oct 15, 2020 · San Jose, Ca
• E•••• S••••••••• L•• BD affiliated
  Jun 23, 2017 to Feb 28, 2020 · San Jose, Ca
• P•••• S••••••••• L•• no RAUM
  May 14, 2009 to Jan 30, 2017 · San Jose, Ca

• F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
  left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
• M•• I•••••••• S•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
  left Oct 15, 2020, registered Dec 23, 2020 (69 days) · Affiliated broker-dealer or bank to another
• E•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••
  left Feb 28, 2020, registered Mar 24, 2020 (25 days) · Affiliated broker-dealer or bank to another
• P•••• S••••••••• L•• to E•••• S••••••••• L••
  left Jan 30, 2017, registered Jun 23, 2017 (144 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

National broker-dealer RIAderived

Years in industry

20derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address