R•••• E•••• A••••

C•••••• S••••• • C••• I•••national BDCarlsbad, Cadual registrantIAPD 7267218

Feed of 09/14/2026

Also filed as R•••• A••••••••• E•••• A•••••

At current firm

4 y

since Jan 26, 2022

In the industry

12 y

since Jan 1, 2014 (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

C•••••• S••••• • C••• I••• national BD current
since Jan 26, 2022 · Carlsbad, Ca
T• A••••••••• I••••••••• M••••••••• L•• former
Sep 3, 2020 to Sep 7, 2023 · San Diego, Ca
T• A••••••••• I••• former
Sep 3, 2020 to Oct 14, 2022 · Carlsbad, Ca

Moves

a registration end followed by a registration begin elsewhere

T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered Sep 3, 2020 (-771 days) · corporate re-registration, not a move

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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address