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Registered advisor
S•••••• E•••••••• M••• P••••••
Feed of 09/14/2026
Also filed as S•••••• M••• P••••••
At current firm
2 y
since Aug 28, 2024
In the industry
16 y
since Mar 29, 2010 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
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
- H•••••• S••••••••• I••• BD affiliated currentsince Aug 28, 2024 · Austin, Tx
- H•••••• S••••••••• I••• BD affiliatedJul 27, 2012 to Apr 15, 2021 · Austin, Tx
- N•• E•••••• S••••••••• C••••••••• formerMar 29, 2010 to Jul 30, 2012 · Austin, Tx
Moves
a registration end followed by a registration begin elsewhere
- N•• E•••••• S••••••••• C••••••••• to H•••••• S••••••••• I•••left Jul 30, 2012, registered Jul 27, 2012 (-3 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address