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Registered advisor
P••• S••••• C•••••••
Feed of 09/14/2026
At current firm
5 y
since Apr 26, 2021
In the industry
17 y
since Jan 1, 2009 (earliest exam, job or registration)
Prior registered firms
6
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Apr 26, 2021 · San Diego, Ca
- S•••••••• F••••••••• I••• formerAug 6, 2019 to Apr 15, 2021 · Scottsdale, Az
- W••••••• F•••••••• S•••••••• I••• formerJul 18, 2014 to Jul 23, 2019 · Oakdale, Mn
- F•• S••••••••• C••••••••• formerJul 18, 2014 to Jul 23, 2019 · Atlanta, Ga
- O•••• W•••••• I••• BD affiliatedJul 18, 2014 to Jul 23, 2019 · Scottsdale, Az
- S•••••••• F••••••••• I••• formerJul 18, 2014 to Jul 23, 2019 · Scottsdale, Az
- S•••••••• F••••••••• I••• formerAug 12, 2010 to Jun 12, 2014 · Scottsdale, Az
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• F••••••••• I••• to I••••••••• F•••••••• G••••• L••left Apr 15, 2021, registered Apr 26, 2021 (11 days) · Affiliated broker-dealer or bank to another
- S•••••••• F••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Jul 23, 2019, registered Jul 18, 2014 (-1831 days) · channel change inside one enterprise, not a move
- W••••••• F•••••••• S•••••••• I••• to S•••••••• F••••••••• I•••left Jul 23, 2019, registered Aug 6, 2019 (14 days) · channel change inside one enterprise, not a move
- O•••• W•••••• I••• to S•••••••• F••••••••• I•••left Jul 23, 2019, registered Jul 18, 2014 (-1831 days) · channel change inside one enterprise, not a move
- F•• S••••••••• C••••••••• to O•••• W•••••• I•••left Jul 23, 2019, registered Jul 18, 2014 (-1831 days) · channel change inside one enterprise, not a move
- S•••••••• F••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Jun 12, 2014, registered Jul 18, 2014 (36 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address