S•••••• V•••••• F••••

M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseSanta Clarita, Cadual registrantIAPD 5229625

Feed of 09/14/2026

Also filed as S•••••• V• F••••

At current firm

3 y

since Aug 28, 2023

In the industry

19 y

since Jul 5, 2007 (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

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
since Aug 28, 2023 · Santa Clarita, Ca
C•••••• S••••• • C••• I••• national BD
Sep 25, 2008 to Apr 5, 2023 · Los Angeles, Ca
E•••••••• A•••••••• L•• national BD
Oct 19, 2007 to Dec 19, 2007 · Scottsdale, Az

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Apr 5, 2023, registered Aug 28, 2023 (145 days) · Affiliated broker-dealer or bank to wirehouse
E•••••••• A•••••••• L•• to C•••••• S••••• • C••• I•••
left Dec 19, 2007, registered Sep 25, 2008 (281 days) · Affiliated broker-dealer or bank to another

Signals

••• Locked
Apr 5, 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: Wirehousederived
Years in industry: 19derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address