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Registered advisor
S••• H••••••••
Feed of 09/14/2026
Also filed as S••• H••••••••-Garcia
At current firm
1 y
since Mar 31, 2025
In the industry
10 y
since Jan 1, 2016 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Vancouver, Wa
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 1, 2023 to Mar 31, 2025 · Vancouver, Wa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 31, 2019 to Sep 21, 2022 · Watsonville, Ca
- E••••• J•••• national BDMay 14, 2019 to Jul 24, 2019 · St Louis, Mo
- F•••• C•••••• A••••••• S••••••• BD affiliatedJan 18, 2019 to Mar 4, 2019 · Monterey, Ca
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 21, 2022, registered Feb 1, 2023 (133 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 24, 2019, registered Oct 31, 2019 (99 days) · Affiliated broker-dealer or bank to wirehouse
- F•••• C•••••• A••••••• S••••••• to E••••• J••••left Mar 4, 2019, registered May 14, 2019 (71 days) · Affiliated broker-dealer or bank to another · moved with a team
Signals
- S••• H•••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-02-01)Sep 21, 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address