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Registered advisor
E••• C••••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/15/2026
Also filed as E••• C••••••
At current firm
0 y
since Mar 11, 2026
In the industry
12 y
since Sep 1, 2014 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Mar 11, 2026 · Redding, Ca
- E••••• J•••• national BDFeb 11, 2022 to Mar 12, 2026 · Redding, Ca
- W•••• F•••• A••••••• wirehouseApr 22, 2019 to Feb 18, 2022 · Roseville, Ca
- E••••• J•••• national BDApr 10, 2015 to Apr 25, 2019 · Riverton, Wy
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to L•• F•••••••• L••left Mar 12, 2026, registered Mar 11, 2026 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to E••••• J••••left Feb 18, 2022, registered Feb 11, 2022 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- E••••• J•••• to W•••• F•••• A•••••••left Apr 25, 2019, registered Apr 22, 2019 (-3 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- E••• C•••••• left E••••• J•••• for L•• F•••••••• L•• (registered 2026-03-11)Mar 12, 2026 · Advisor changed firm · fact
- E••• C•••••• left W•••• F•••• A••••••• for E••••• J•••• (registered 2022-02-11)Feb 18, 2022 · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address