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Registered advisor
C••• L•••
Chartered Financial Analyst
Feed of 09/14/2026
Also filed as Nico Ling
At current firm
1 y
since Jan 21, 2025
In the industry
10 y
since Sep 1, 2016 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- H••• S••••••••• •••• I••• BD affiliated currentsince Jan 21, 2025 · Arcadia, Ca
- H••• S••••••••• •••• I••• BD affiliatedMay 30, 2019 to Aug 27, 2021 · Diamond Bar, Ca
- C••••• I••••••••• A••••••• L•• BD affiliatedOct 27, 2017 to Mar 25, 2019 · City Of Industry, Ca
- E•••••••• A•••••••• L•• national BDApr 14, 2017 to Jun 12, 2017 · Los Angeles, Ca
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to H••• S••••••••• •••• I•••left Mar 25, 2019, registered May 30, 2019 (66 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to C••••• I••••••••• A••••••• L••left Jun 12, 2017, registered Oct 27, 2017 (137 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address