M•••••• Q••••••

C•••••• S••••• • C••• I•••national BDWestlake, Tx dual registrantIAPD 6864917

Feed of 09/15/2026

At current firm

3 y

since Oct 4, 2022

In the industry

13 y

since Oct 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

C•••••• S••••• • C••• I••• national BD current
since Oct 4, 2022 · Phoenix, Az
T• A••••••••• I••••••••• M••••••••• L•• former
Jun 14, 2018 to Sep 18, 2020 · Southlake, Tx
T• A••••••••• I••• former
Jun 14, 2018 to Oct 14, 2022 · Westlake, Tx

Moves

a registration end followed by a registration begin elsewhere

T• A••••••••• I••• to C•••••• S••••• • C••• I•••
left Oct 14, 2022, registered Oct 4, 2022 (-10 days) · channel change inside one enterprise, not a move
T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
left Sep 18, 2020, registered Jun 14, 2018 (-827 days) · channel change inside one enterprise, not a move · moved with a team

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: 13derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address