A•• C•••••• P•••

C•••••• S••••• • C••• I•••national BDPasadena, Cadual registrantIAPD 5292851

Feed of 09/14/2026

At current firm

16 y

since May 17, 2010

In the industry

18 y

since Apr 29, 2008 (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

C•••••• S••••• • C••• I••• national BD current
since May 17, 2010 · Pasadena, Ca
T• A••••••••• I••• former
Jul 1, 2022 to Oct 14, 2022 · Thousand Oaks, Ca
B••••••• C•••••• I••• former
Jan 21, 2009 to Jul 22, 2009 · San Francisco, Ca
L••••• B••••••• I••• unclassified
Aug 8, 2008 to Oct 15, 2008 · San Francisco, Ca

Moves

a registration end followed by a registration begin elsewhere

T• A••••••••• I••• to no registered destination
left Oct 14, 2022 · Departure, no registered destination
B••••••• C•••••• I••• to C•••••• S••••• • C••• I•••
left Jul 22, 2009, registered May 17, 2010 (299 days) · Other
L••••• B••••••• I••• to B••••••• C•••••• I•••
left Oct 15, 2008, registered Jan 21, 2009 (98 days) · corporate re-registration, not a move

Signals

••• Locked
Oct 14, 2022 · 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: National broker-dealer RIAderived
Years in industry: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address