J•••• A• F••••

C•••••• S••••• • C••• I•••national BDCarmel, Cadual registrantIAPD 4910689

Feed of 09/14/2026

Also filed as J•••• A• F••••••••• A••• F••••

At current firm

16 y

since May 4, 2010

In the industry

20 y

since Nov 17, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• S••••• • C••• I••• national BD current
since May 4, 2010 · Carmel, Ca
C•••••• S••••• • C••• I••• national BD
Sep 26, 2008 to Nov 5, 2009 · Walnut Creek, Ca
S•••••••• F••••••••• I••• former
Jul 10, 2008 to Jul 16, 2008 · Walnut Creek, Ca
T• R••• P•••• A••••••• S•••••••• I••• BD affiliated
Aug 10, 2007 to Mar 6, 2008 · Colorado Springs, Co

Moves

a registration end followed by a registration begin elsewhere

S•••••••• F••••••••• I••• to C•••••• S••••• • C••• I•••
left Jul 16, 2008, registered Sep 26, 2008 (72 days) · Other
T• R••• P•••• A••••••• S•••••••• I••• to S•••••••• F••••••••• I•••
left Mar 6, 2008, registered Jul 10, 2008 (126 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: 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