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Registered advisor

A••••••••• P• T•••••

U••• B•••••• A•••••••• L••BD affiliatedTempe, Az dual registrantIAPD 5223123

Certified Financial Planner

Feed of 09/15/2026

Also filed as A••••••••• T•••••

At current firm

6 y

since Feb 28, 2020

In the industry

19 y

since Jan 9, 2007 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

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 28, 2020 · Tempe, Az
U••• B•••••• I••••••••• I••• former
Dec 3, 2025 to Feb 13, 2026 · Tempe, Az
U••• I••••••••• S••••••• C•••••• no RAUM
Jan 8, 2018 to Mar 4, 2020 · San Antonio, Tx
U••• F•••••••• P••••••• S••••••• former
May 8, 2015 to Jan 8, 2018 · Phoenix, Az
E•••••• F•••••••• E•••••• independent RIA
Apr 17, 2012 to Mar 11, 2015 · Phoenix, Az
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Dec 6, 2011 to Mar 30, 2012 · Chandler, Az
E••••• J•••• national BD
Jan 9, 2007 to Jan 17, 2007 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to no registered destination
left Feb 13, 2026 · Departure, no registered destination
U••• I••••••••• S••••••• C•••••• to U••• B•••••• A•••••••• L••
left Mar 4, 2020, registered Feb 28, 2020 (-5 days) · Affiliated broker-dealer or bank to another
U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••
left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
E•••••• F•••••••• E•••••• to U••• F•••••••• P••••••• S•••••••
left Mar 11, 2015, registered May 8, 2015 (58 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• F•••••••• E••••••
left Mar 30, 2012, registered Apr 17, 2012 (18 days) · Other
E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jan 17, 2007, registered Dec 6, 2011 (1784 days) · Affiliated broker-dealer or bank to wirehouse

Signals

A••••••••• P• T••••• no longer registered at U••• B•••••• I••••••••• I•••; no later IA registration on IAPD
Feb 13, 2026 · Advisor departure · 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