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Registered advisor
A••• C••••••
Feed of 09/14/2026
Also filed as A••• J C••••••
At current firm
1 y
since Mar 31, 2025
In the industry
19 y
since Dec 14, 2006 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Nashville, Tn
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 10, 2022 to Mar 31, 2025 · Westlake, Tx
- M••••• S•••••• wirehouseJul 8, 2020 to Dec 22, 2021 · Nashville, Tn
- W•••• F•••• A••••••• wirehouseAug 27, 2018 to Jan 7, 2020 · Vancouver, Wa
- M• H••••••• S••••••••• I••• BD affiliatedOct 14, 2016 to Aug 20, 2018 · Portland, Or
- W•••• F•••• A••••••• wirehouseAug 21, 2013 to Oct 12, 2016 · San Francisco, Ca
- W•••• F•••• A••••••• wirehouseJan 3, 2011 to Mar 28, 2012 · Pleasant Hill, Ca
- W•••• F•••• I••••••••• L•• unclassifiedJun 24, 2008 to Jan 3, 2011 · Danville, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 1, 2007 to Apr 30, 2008 · San Jose, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Dec 22, 2021, registered Nov 10, 2022 (323 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M••••• S••••••left Jan 7, 2020, registered Jul 8, 2020 (183 days) · Wirehouse to wirehouse
- M• H••••••• S••••••••• I••• to W•••• F•••• A•••••••left Aug 20, 2018, registered Aug 27, 2018 (7 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to M• H••••••• S••••••••• I•••left Oct 12, 2016, registered Oct 14, 2016 (2 days) · Other
- W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• I••••••••• L••left Apr 30, 2008, registered Jun 24, 2008 (55 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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address