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Registered advisor
W•••••• T••••• M••••
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseNewport Beach, Cadual registrantIAPD 720859
Feed of 09/14/2026
At current firm
17 y
since Dec 3, 2008
In the industry
44 y
since Sep 9, 1982 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Dec 3, 2008 · Newport Beach, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 8, 1997 to Dec 16, 2008 · Newport Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 16, 2008, registered Dec 3, 2008 (-13 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
- Wirehousederived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address