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Registered advisor
B•••• A• C•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as B•••• C•••••
At current firm
1 y
since Mar 31, 2025
In the industry
19 y
since Sep 19, 2007 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Duvall, Wa
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 21, 2023 to Mar 31, 2025 · Redmond, Wa
- E•••••• C•••••• M••••••••• L•• formerJan 5, 2021 to Aug 15, 2023 · Seattle, Wa
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 1, 2020 to Dec 31, 2020 · Seattle, Wa
- T• A••••••••• I••• formerJul 1, 2020 to Dec 22, 2020 · Seattle, Wa
- W•••••• • R••• formerMay 4, 2016 to Mar 20, 2020 · Seattle, Wa
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
- E•••••• C•••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 15, 2023, registered Aug 21, 2023 (6 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••••••••• M••••••••• L•• to E•••••• C•••••• M••••••••• L••left Dec 31, 2020, registered Jan 5, 2021 (5 days) · RIA to RIA
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 22, 2020, registered Jul 1, 2020 (-174 days) · corporate re-registration, not a move
- W•••••• • R••• to T• A••••••••• I•••left Mar 20, 2020, registered Jul 1, 2020 (103 days) · Other
Signals
- B•••• A• C••••• left E•••••• C•••••• M••••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-08-21)Aug 15, 2023 · 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
- 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