K•••• C•••••••• L••••••

U••• B•••••• A•••••••• L••BD affiliatedBellingham, Wa dual registrantIAPD 5191589

Feed of 09/15/2026

At current firm

0 y

since Feb 13, 2026

In the industry

19 y

since Oct 25, 2006 (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

U••• B•••••• A•••••••• L•• BD affiliated current
since Feb 13, 2026 · Blaine, Wa
U••• B•••••• I••••••••• I••• former
Jun 2, 2023 to Feb 13, 2026 · Bellingham, Wa
W•••• F•••• A••••••• wirehouse
Oct 11, 2013 to Jun 9, 2023 · Everett, Wa
E••••• J•••• national BD
Dec 2, 2011 to Oct 15, 2013 · Oak Harbor, Wa
T• A••••••••• I••••••••• M••••••••• L•• former
Jun 25, 2007 to Dec 1, 2011 · Bellevue, Wa
T• A••••••••• I••• former
Jun 25, 2007 to Dec 1, 2011 · Bellevue, Wa
E•••••••• A•••••••• L•• national BD
Oct 26, 2006 to May 17, 2007 · Bellevue, Wa

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 Jun 9, 2023, registered Jun 2, 2023 (-7 days) · Wirehouse to affiliated broker-dealer or bank
E••••• J•••• to W•••• F•••• A•••••••
left Oct 15, 2013, registered Oct 11, 2013 (-4 days) · Affiliated broker-dealer or bank to wirehouse
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Dec 1, 2011, registered Jun 25, 2007 (-1620 days) · channel change inside one enterprise, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Dec 1, 2011, registered Jun 25, 2007 (-1620 days) · Other
E•••••••• A•••••••• L•• to T• A••••••••• I•••
left May 17, 2007, registered Jun 25, 2007 (39 days) · Affiliated broker-dealer or bank to a newly registered adviser

Signals

••• Locked
Jun 9, 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: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address