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Registered advisor
E•••• T•••••• S••••••••
Feed of 09/15/2026
Also filed as T•••••• S••••••••
At current firm
0 y
since Mar 31, 2026
In the industry
19 y
since Jul 9, 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, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 31, 2026 · Peoria, Az
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 11, 2013 to Mar 25, 2026 · Pennington, Nj
- U••• F•••••••• P••••••• S••••••• formerJun 8, 2012 to Dec 7, 2012 · Phoenix, Az
- U••• I••••••••• S••••••• C•••••• no RAUMSep 29, 2008 to Jun 12, 2012 · Phoenix, Az
- S•••••••• A••••••• L•• national BDDec 6, 2007 to Aug 18, 2008 · Salt Lake City, Ut
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Mar 25, 2026, registered Mar 31, 2026 (6 days) · Wirehouse to wirehouse
- U••• F•••••••• P••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 7, 2012, registered Feb 11, 2013 (66 days) · Other
- U••• I••••••••• S••••••• C•••••• to U••• F•••••••• P••••••• S•••••••left Jun 12, 2012, registered Jun 8, 2012 (-4 days) · channel change inside one enterprise, not a move
- S•••••••• A••••••• L•• to U••• I••••••••• S••••••• C••••••left Aug 18, 2008, registered Sep 29, 2008 (42 days) · Other
Signals
- E•••• T•••••• S•••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for J••• M••••• S••••••••• L•• (registered 2026-03-31)Mar 25, 2026 · 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