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Registered advisor
V••• D•
Feed of 09/15/2026
Also filed as V••• D•
At current firm
2 y
since Jun 7, 2024
In the industry
18 y
since Oct 11, 2007 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63, 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
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Jun 7, 2024 · Greenwood Village, Co
- C••••• I••••••••• A••••••• L•• BD affiliatedApr 29, 2019 to Apr 14, 2020 · San Jose, Ca
- A••••• A•• P••••••• S••••••• BD affiliatedDec 7, 2017 to Apr 23, 2019 · Palo Alto, Ca
- C••• F•••••••• S•••••••• L••• formerAug 10, 2015 to Oct 11, 2017 · Milpitas, Ca
- E•••••• C•••••• M••••••••• L•• formerJan 14, 2015 to Aug 6, 2015 · Cupertino, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 23, 2011 to Jan 23, 2015 · San Jose, Ca
- N•• E•••••• S••••••••• C••••••••• formerFeb 11, 2011 to Mar 18, 2011 · Campbell, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to E•••••• A••••••• G••••• L••left Apr 14, 2020, registered Jun 7, 2024 (1515 days) · Affiliated broker-dealer or bank to another
- A••••• A•• P••••••• S••••••• to C••••• I••••••••• A••••••• L••left Apr 23, 2019, registered Apr 29, 2019 (6 days) · Affiliated broker-dealer or bank to another
- C••• F•••••••• S•••••••• L••• to A••••• A•• P••••••• S•••••••left Oct 11, 2017, registered Dec 7, 2017 (57 days) · Other
- E•••••• C•••••• M••••••••• L•• to C••• F•••••••• S•••••••• L•••left Aug 6, 2015, registered Aug 10, 2015 (4 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••• C•••••• M••••••••• L••left Jan 23, 2015, registered Jan 14, 2015 (-9 days) · Other
- N•• E•••••• S••••••••• C••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 18, 2011, registered Mar 23, 2011 (5 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address