D•••• T••••• M•••••••••

C•••••• S••••• • C••• I•••national BDCarmel, Indual registrantIAPD 5758476

Feed of 09/14/2026

At current firm

8 y

since Feb 2, 2018

In the industry

16 y

since Feb 1, 2010 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

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 Feb 2, 2018 · Carmel, In
T• A••••••••• I••• former
Feb 9, 2022 to Oct 14, 2022 · Orange Village, Oh
S•••••••• I••••••••• M••••••••• former
Jan 17, 2017 to Feb 9, 2018 · Saint Louis, Mo

Moves

a registration end followed by a registration begin elsewhere

T• A••••••••• I••• to no registered destination
left Oct 14, 2022 · Departure, no registered destination
S•••••••• I••••••••• M••••••••• to C•••••• S••••• • C••• I•••
left Feb 9, 2018, registered Feb 2, 2018 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team

Signals

••• Locked
Oct 14, 2022 · Advisor departure · 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: National broker-dealer RIAderived
Years in industry: 16derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address