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Registered advisor
H••• A•••••• S••••••
Feed of 09/14/2026
Also filed as H••• A•••••• S••••••
At current firm
1 y
since Mar 31, 2025
In the industry
10 y
since Aug 1, 2016 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Palmdale, Ca
- F••••••• P••••••• A•• W•••••••• A••••••• formerMar 9, 2022 to Mar 31, 2025 · Covington, Ky
- W•••• F•••• A••••••• wirehouseDec 9, 2021 to Jan 13, 2022 · Northridge, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 10, 2018 to Sep 10, 2021 · Granada Hills, 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
- W•••• F•••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 13, 2022, registered Mar 9, 2022 (55 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Sep 10, 2021, registered Dec 9, 2021 (90 days) · Wirehouse to wirehouse
Signals
- H••• A•••••• S•••••• left W•••• F•••• A••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-03-09)Jan 13, 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