C•••••• I••••••

U••• B•••••• A•••••••• L••BD affiliatedDowney, Ca dual registrantIAPD 5582109

Feed of 09/15/2026

Also filed as C•••••• M•••• R••••••••• M•••• R••••••••• M•••• C••••••••• R••••••••• M•••• I••••••

At current firm

0 y

since Feb 13, 2026

In the industry

17 y

since Oct 11, 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

U••• B•••••• A•••••••• L•• BD affiliated current
since Feb 13, 2026 · Downey, Ca
U••• B•••••• I••••••••• I••• former
Dec 20, 2022 to Feb 13, 2026 · Saint Paul, Mn
W•••• F•••• A••••••• wirehouse
Apr 13, 2017 to Nov 2, 2022 · Santa Fe Springs, Ca
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Apr 19, 2017 · Whittier, Ca
C•••• I••••••••• S••••••• C•••• former
Apr 29, 2010 to Oct 1, 2012 · Santa Fe Springs, Ca
W•••• F•••• I••••••••• L•• unclassified
Oct 13, 2008 to Mar 16, 2010 · Santa Fe Springs, Ca

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
W•••• F•••• A••••••• to U••• B•••••• I••••••••• I•••
left Nov 2, 2022, registered Dec 20, 2022 (48 days) · Wirehouse to affiliated broker-dealer or bank
J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
left Apr 19, 2017, registered Apr 13, 2017 (-6 days) · Wirehouse to wirehouse · moved with a team
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
W•••• F•••• I••••••••• L•• to C•••• I••••••••• S••••••• C••••
left Mar 16, 2010, registered Apr 29, 2010 (44 days) · Other

Signals

••• Locked
Nov 2, 2022 · 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: 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