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Registered advisor
E•••• S••••• K••••
Feed of 09/14/2026
At current firm
0 y
since Feb 13, 2026
In the industry
20 y
since Jul 13, 2006 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
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
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · Rancho Cordova, Ca
- U••• B•••••• I••••••••• I••• formerDec 5, 2018 to Feb 13, 2026 · Folsom, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Aug 8, 2018 · Modesto, Ca
- C•••• I••••••••• S••••••• C•••• formerDec 1, 2009 to Oct 1, 2012 · Modesto, Ca
- E•••••••• A•••••••• L•• national BDJun 2, 2009 to Oct 22, 2009 · Fresno, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 24, 2007 to Apr 9, 2008 · Modesto, Ca
All 6 prior registrationsShow fewer
- A••••••••• F•••••••• S•••••••• L•• national BDAug 3, 2006 to Feb 27, 2007 · Roseville, 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
- J••• M••••• S••••••••• L•• to U••• B•••••• I••••••••• I•••left Aug 8, 2018, registered Dec 5, 2018 (119 days) · Wirehouse to affiliated broker-dealer or bank
- 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
- E•••••••• A•••••••• L•• to C•••• I••••••••• S••••••• C••••left Oct 22, 2009, registered Dec 1, 2009 (40 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••••• A•••••••• L••left Apr 9, 2008, registered Jun 2, 2009 (419 days) · Wirehouse to affiliated broker-dealer or bank
All 6 movesShow fewer
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 27, 2007, registered May 24, 2007 (86 days) · Affiliated broker-dealer or bank to wirehouse
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