J••••••• A••••• C•••••

L•• F•••••••• L••BD affiliatedAlbuquerque, Nmdual registrantIAPD 5325236

Feed of 09/14/2026

At current firm

1 y

since May 15, 2025

In the industry

18 y

since Jan 31, 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

L•• F•••••••• L•• BD affiliated current
since May 15, 2025 · Albuquerque, Nm
C••• F•••••••• S•••••••• L••• former
Feb 15, 2022 to May 15, 2025 · Albuquerque, Nm
W•••• F•••• A••••••• wirehouse
Feb 7, 2008 to Aug 30, 2021 · Albuquerque, Nm

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••
left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to C••• F•••••••• S•••••••• L•••
left Aug 30, 2021, registered Feb 15, 2022 (169 days) · Wirehouse to affiliated broker-dealer or bank

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: 18derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address