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Registered advisor
T•••• T•• T•••
Feed of 09/15/2026
At current firm
10 y
since Apr 25, 2016
In the industry
19 y
since Aug 1, 2007 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Apr 25, 2016 · Garden Grove, Ca
- B••••••• I••••••••• S•••••••• I••• ••••• formerOct 21, 2014 to May 12, 2016 · La Habra, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Nov 22, 2013 · Westminster, Ca
- C•••• I••••••••• S••••••• C•••• formerJul 8, 2011 to Oct 1, 2012 · Westminster, Ca
- A••••••••• F•••••••• S•••••••• L•• national BDAug 2, 2007 to Sep 25, 2007 · Glendale, Ca
Moves
a registration end followed by a registration begin elsewhere
- B••••••• I••••••••• S•••••••• I••• ••••• to C•••••••• G••••• M•••••• I•••left May 12, 2016, registered Apr 25, 2016 (-17 days) · Other
- J••• M••••• S••••••••• L•• to B••••••• I••••••••• S•••••••• I••• •••••left Nov 22, 2013, registered Oct 21, 2014 (333 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to C•••• I••••••••• S••••••• C••••left Sep 25, 2007, registered Jul 8, 2011 (1382 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
- 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