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Registered advisor
D••••• D•••••• A••••••
Feed of 09/14/2026
At current firm
6 y
since Oct 21, 2019
In the industry
20 y
since Jul 11, 2006 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Oct 21, 2019 · Encinitas, Ca
- C••• F•••••••• S•••••••• L••• formerDec 20, 2017 to Oct 17, 2019 · National City, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedJun 9, 2016 to Aug 2, 2017 · San Diego, Ca
- J••• M••••• S••••••••• L•• wirehouseMay 6, 2016 to Jun 13, 2016 · Encinitas, Ca
- W•••• F•••• A••••••• wirehouseNov 29, 2012 to Jan 11, 2016 · El Paso, Tx
- E••••• J•••• national BDJul 10, 2009 to Sep 14, 2012 · San Diego, Ca
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 13, 2006 to Mar 25, 2009 · San Diego, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJul 12, 2006 to Oct 10, 2006 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••• F•••••••• S•••••••• L••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 17, 2019, registered Oct 21, 2019 (4 days) · Affiliated broker-dealer or bank to another
- U••• B•••••• A•••••••• L•• to C••• F•••••••• S•••••••• L•••left Aug 2, 2017, registered Dec 20, 2017 (140 days) · Other
- J••• M••••• S••••••••• L•• to U••• B•••••• A•••••••• L••left Jun 13, 2016, registered Jun 9, 2016 (-4 days) · Other · moved with a team
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Jan 11, 2016, registered May 6, 2016 (116 days) · Wirehouse to wirehouse
- E••••• J•••• to W•••• F•••• A•••••••left Sep 14, 2012, registered Nov 29, 2012 (76 days) · Affiliated broker-dealer or bank to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to E••••• J••••left Mar 25, 2009, registered Jul 10, 2009 (107 days) · Other
- W•••• F•••• I••••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 10, 2006, registered Oct 13, 2006 (3 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
- 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