A•••••• C•••••• L••••

L•• F•••••••• L••BD affiliatedSan Diego, Cadual registrantIAPD 5732663

Feed of 09/14/2026

Also filed as A•••••• C•••••• B••••••••• C• L••••

At current firm

8 y

since Oct 30, 2017

In the industry

16 y

since Dec 31, 2009 (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

L•• F•••••••• L•• BD affiliated current
since Oct 30, 2017 · San Diego, Ca
C••••••••• F•••••••• N•••••• national BD
May 31, 2017 to Oct 18, 2017 · San Diego, Ca
L•• F•••••••• L•• BD affiliated
Nov 26, 2014 to Jun 13, 2017 · San Diego, Ca
S•••••••• A••••••• L•• national BD
Sep 23, 2011 to Jan 3, 2013 · San Diego, Ca
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Sep 28, 2010 to Aug 23, 2011 · Carlsbad, Ca
E••••• J•••• national BD
Jan 5, 2010 to Sep 20, 2010 · St Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

C••••••••• F•••••••• N•••••• to L•• F•••••••• L••
left Oct 18, 2017, registered Oct 30, 2017 (12 days) · Other
L•• F•••••••• L•• to C••••••••• F•••••••• N••••••
left Jun 13, 2017, registered May 31, 2017 (-13 days) · Other
S•••••••• A••••••• L•• to L•• F•••••••• L••
left Jan 3, 2013, registered Nov 26, 2014 (692 days) · Other
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A••••••• L••
left Aug 23, 2011, registered Sep 23, 2011 (31 days) · Wirehouse to affiliated broker-dealer or bank
E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Sep 20, 2010, registered Sep 28, 2010 (8 days) · Affiliated broker-dealer or bank to wirehouse

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