M••••••• J••••• I••••••

C•••••• S••••• • C••• I•••national BDSan Antonio, Tx dual registrantIAPD 5643072

Feed of 09/14/2026

Also filed as M••• I••••••

At current firm

6 y

since May 23, 2020

In the industry

24 y

since Jul 1, 2002 (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

C•••••• S••••• • C••• I••• national BD current
since May 23, 2020 · Westlake, Tx
U••• I••••••••• S••••••• C•••••• no RAUM
Jan 8, 2018 to May 24, 2020 · San Antonio, Tx
U••• F•••••••• P••••••• S••••••• former
Dec 18, 2013 to Jan 8, 2018 · San Antonio, Tx
J••• M••••• S••••••••• L•• wirehouse
Nov 16, 2012 to Dec 6, 2013 · Sherman Oaks, Ca
W•••• F•••• A••••••• wirehouse
Jan 3, 2011 to Oct 3, 2012 · Westlake Village, Ca
W•••• F•••• I••••••••• L•• unclassified
Jun 4, 2009 to Jan 3, 2011 · West Hills, Ca

Moves

a registration end followed by a registration begin elsewhere

U••• I••••••••• S••••••• C•••••• to C•••••• S••••• • C••• I•••
left May 24, 2020, registered May 23, 2020 (-1 days) · corporate re-registration, not a move
U••• F•••••••• P••••••• S••••••• to U••• I••••••••• S••••••• C••••••
left Jan 8, 2018, registered Jan 8, 2018 (0 days) · corporate re-registration, not a move
J••• M••••• S••••••••• L•• to U••• F•••••••• P••••••• S•••••••
left Dec 6, 2013, registered Dec 18, 2013 (12 days) · Other
W•••• F•••• A••••••• to J••• M••••• S••••••••• L••
left Oct 3, 2012, registered Nov 16, 2012 (44 days) · Wirehouse to wirehouse
W•••• F•••• I••••••••• L•• to W•••• F•••• A•••••••
left Jan 3, 2011, registered Jan 3, 2011 (0 days) · corporate re-registration, not a move

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: National broker-dealer RIAderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address