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Registered advisor
G•••••• M•••••• S••••••
Feed of 09/14/2026
Also filed as G•••••• M•••••• S••••••
At current firm
3 y
since Feb 14, 2023
In the industry
11 y
since Nov 1, 2014 (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
- C•••••• S••••• • C••• I••• national BD currentsince Feb 14, 2023 · Westlake, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 16, 2018 to Oct 7, 2021 · San Diege, Ca
- T• A••••••••• I••• formerFeb 16, 2018 to Oct 7, 2021 · San Diego, Ca
- S•••••••• I••••••••• M••••••••• formerJan 27, 2017 to Feb 15, 2018 · Saint Louis, Mo
- W•••••• • R••• formerSep 3, 2015 to Jun 15, 2016 · Scottsdale, Az
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Oct 7, 2021, registered Feb 16, 2018 (-1329 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Oct 7, 2021, registered Feb 14, 2023 (495 days) · channel change inside one enterprise, not a move · moved with a team
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 15, 2018, registered Feb 16, 2018 (1 days) · corporate re-registration, not a move
- W•••••• • R••• to S•••••••• I••••••••• M•••••••••left Jun 15, 2016, registered Jan 27, 2017 (226 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address