T•• D•• C•••

U••• B•••••• A•••••••• L••BD affiliatedIrvine, Ca dual registrantIAPD 6930628

Feed of 09/14/2026

Also filed as T•• C••••••• D• C••••••• D•• C•••

At current firm

0 y

since Feb 13, 2026

In the industry

9 y

since Oct 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

U••• B•••••• A•••••••• L•• BD affiliated current
since Feb 13, 2026 · Irvine, Ca
U••• B•••••• I••••••••• I••• former
Feb 12, 2024 to Feb 13, 2026 · Irvine, Ca
C••••• I••••••••• A••••••• L•• BD affiliated
May 31, 2022 to Oct 31, 2023 · Los Angeles, Ca
J••• M••••• S••••••••• L•• wirehouse
Apr 20, 2022 to May 29, 2022 · Orange, Ca
W•••• F•••• A••••••• wirehouse
Apr 16, 2020 to Dec 7, 2021 · San Clemente, Ca
E••••• J•••• national BD
Jun 15, 2018 to Dec 9, 2019 · Irvine, Ca

Moves

a registration end followed by a registration begin elsewhere

U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••
left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
C••••• I••••••••• A••••••• L•• to U••• B•••••• I••••••••• I•••
left Oct 31, 2023, registered Feb 12, 2024 (104 days) · Affiliated broker-dealer or bank to another · moved with a team
J••• M••••• S••••••••• L•• to C••••• I••••••••• A••••••• L••
left May 29, 2022, registered May 31, 2022 (2 days) · Wirehouse to affiliated broker-dealer or bank
W•••• F•••• A••••••• to J••• M••••• S••••••••• L••
left Dec 7, 2021, registered Apr 20, 2022 (134 days) · Wirehouse to wirehouse · moved with a team
E••••• J•••• to W•••• F•••• A•••••••
left Dec 9, 2019, registered Apr 16, 2020 (129 days) · Affiliated broker-dealer or bank to wirehouse

Signals

••• Locked
Oct 31, 2023 · Advisor changed firm · fact
••• Locked
May 29, 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: 9derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address