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Registered advisor

C•••••••• H•• T•••

U••• B•••••• A•••••••• L••BD affiliatedLos Gatos, Ca dual registrantIAPD 5051287

Feed of 09/14/2026

Also filed as H•• T••••••••• T•••

At current firm

0 y

since Feb 13, 2026

In the industry

20 y

since Dec 10, 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

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

0

dated events on this person

Registration history

IAPD current and previous registrations

U••• B•••••• A•••••••• L•• BD affiliated current
since Feb 13, 2026 · Los Gatos, Ca

U••• B•••••• I••••••••• I••• former
Mar 7, 2019 to Feb 13, 2026 · Los Gatos, Ca
W•••• F•••• A••••••• wirehouse
Dec 4, 2013 to Aug 4, 2017 · Redwood City, Ca
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Dec 6, 2013 · Mountain View, Ca
C•••• I••••••••• S••••••• C•••• former
Mar 12, 2010 to Oct 1, 2012 · Union City, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Jan 20, 2009 to Mar 29, 2010 · San Jose, Ca

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••
left Aug 4, 2017, registered Mar 7, 2019 (580 days) · Wirehouse to affiliated broker-dealer or bank
J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
left Dec 6, 2013, registered Dec 4, 2013 (-2 days) · Wirehouse to wirehouse
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
C•••••••• G••••• M•••••• I••• to C•••• I••••••••• S••••••• C••••
left Mar 29, 2010, registered Mar 12, 2010 (-17 days) · Other

Signals

No dated event on this person.

Transition signals

Mobility scoring is not published yet.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 20derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address