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Registered advisor
D•••• R• M•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as D•••• R• M•••••
At current firm
1 y
since Nov 14, 2024
In the industry
17 y
since Jun 2, 2009 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Redlands, Ca
- P•••• S••••••••• L•• no RAUMMar 30, 2021 to Nov 14, 2024 · Ontario, Ca
- C••• F•••••••• S•••••••• L••• formerAug 1, 2016 to Mar 26, 2021 · Highland, Ca
- W•••••• • R••• formerJan 14, 2014 to Aug 22, 2016 · Ontario, Ca
- P•••• S••••••••• L•• no RAUMJan 10, 2013 to Jan 9, 2014 · Ontario, Ca
Moves
a registration end followed by a registration begin elsewhere
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- C••• F•••••••• S•••••••• L••• to P•••• S••••••••• L••left Mar 26, 2021, registered Mar 30, 2021 (4 days) · Affiliated broker-dealer or bank to another
- W•••••• • R••• to C••• F•••••••• S•••••••• L•••left Aug 22, 2016, registered Aug 1, 2016 (-21 days) · Other
- P•••• S••••••••• L•• to W•••••• • R•••left Jan 9, 2014, registered Jan 14, 2014 (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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address