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Registered advisor
C•••••••• C•••
Feed of 09/14/2026
Also filed as C•••••••• C•••
At current firm
11 y
since Mar 2, 2015
In the industry
20 y
since Jan 24, 2006 (earliest exam, job or registration)
Prior registered firms
4
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
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 2, 2015 · Alhambra, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 16, 2012 to Mar 13, 2015 · Hacienda Heights, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedOct 27, 2011 to Jan 25, 2012 · Arcadia, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Aug 10, 2011 · Alhambra, Ca
- W•••• F•••• I••••••••• L•• unclassifiedNov 30, 2009 to Jan 3, 2011 · Monterey Park, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Mar 13, 2015, registered Mar 2, 2015 (-11 days) · Wirehouse to wirehouse · moved with a team
- U••• B•••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 25, 2012, registered Feb 16, 2012 (22 days) · Other
- W•••• F•••• A••••••• to U••• B•••••• A•••••••• L••left Aug 10, 2011, registered Oct 27, 2011 (78 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address