M•••••• A•••••• M•••••••

L•• E••••••••• L••BD affiliatedIrvine, Cadual registrantIAPD 4966013

Feed of 09/14/2026

Also filed as M•••••• A M•••••••

At current firm

1 y

since Nov 14, 2024

In the industry

18 y

since Jun 13, 2008 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• E••••••••• L•• BD affiliated current
since Nov 14, 2024 · Irvine, Ca
P•••• S••••••••• L•• no RAUM
Aug 23, 2023 to Nov 14, 2024 · Irvine, Ca
E•••••••• A•••••••• L•• national BD
Nov 12, 2021 to Aug 29, 2023 · Irvine, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 1, 2019 to Nov 16, 2021 · Newport Beach, Ca
W•••• F•••• A••••••• wirehouse
Apr 14, 2016 to Mar 5, 2019 · Irvine, Ca
E••••• J•••• national BD
Feb 10, 2014 to Apr 14, 2016 · Costa Mesa, Ca
E••••• J•••• national BD
Jun 13, 2008 to Nov 10, 2008 · Costa Mesa, Ca

Moves

a registration end followed by a registration begin elsewhere

P•••• S••••••••• L•• to L•• E••••••••• L••
left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
E•••••••• A•••••••• L•• to P•••• S••••••••• L••
left Aug 29, 2023, registered Aug 23, 2023 (-6 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••••• A•••••••• L••
left Nov 16, 2021, registered Nov 12, 2021 (-4 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Mar 5, 2019, registered Mar 1, 2019 (-4 days) · Wirehouse to wirehouse
E••••• J•••• to W•••• F•••• A•••••••
left Apr 14, 2016, registered Apr 14, 2016 (0 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team

Signals

M•••••• A•••••• M••••••• left E•••••••• A•••••••• L•• for P•••• S••••••••• L•• (registered 2023-08-23)
Aug 29, 2023 · Advisor changed firm · fact

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: Broker-dealer affiliated wealth managerderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address