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Registered advisor

S••• P•••••• F•••••

U••• B•••••• A•••••••• L••BD affiliatedMount Orab, Oh dual registrantIAPD 6013967

Feed of 09/15/2026

Also filed as S••• F•••••

At current firm

0 y

since Feb 13, 2026

In the industry

14 y

since Feb 1, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U••• B•••••• A•••••••• L•• BD affiliated current
since Feb 13, 2026 · Batavia, Oh
U••• B•••••• I••••••••• I••• former
Sep 26, 2023 to Feb 13, 2026 · Saint Paul, Mn
F••••••• P••••••• A•• W•••••••• A••••••• former
Jul 13, 2018 to Sep 13, 2023 · Boston, Ma
S•••••••• A••••••• L•• national BD
Apr 10, 2013 to Jul 13, 2018 · Covington, Ky

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
F••••••• P••••••• A•• W•••••••• A••••••• to U••• B•••••• I••••••••• I•••
left Sep 13, 2023, registered Sep 26, 2023 (13 days) · Affiliated broker-dealer or bank to another
S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move

Signals

S••• P•••••• F••••• left F••••••• P••••••• A•• W•••••••• A••••••• for U••• B•••••• I••••••••• I••• (registered 2023-09-26)
Sep 13, 2023 · Advisor changed firm · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address