T••••• P•••••• L••••••

S•••••• N••••••• • C••••••• I•••••••••national BDScottsdale, Az dual registrantIAPD 829039

Feed of 09/15/2026

Also filed as T••••• P••••••• L••••••

At current firm

7 y

since Sep 24, 2018

In the industry

39 y

since Sep 25, 1986 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••• N••••••• • C••••••• I••••••••• national BD current
since Sep 24, 2018 · Scottsdale, Az
R•••••• J•••• • A••••••••• I••• national BD
May 9, 2007 to Oct 10, 2018 · Tempe, Az
R••••• W• B•••• • C•• I••••••••• mixed wealth
Mar 1, 2004 to Apr 24, 2007 · Scottsdale, Az

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• • A••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
left Oct 10, 2018, registered Sep 24, 2018 (-16 days) · Affiliated broker-dealer or bank to another · moved with a team
R••••• W• B•••• • C•• I••••••••• to R•••••• J•••• • A••••••••• I•••
left Apr 24, 2007, registered May 9, 2007 (15 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: National broker-dealer RIAderived
Years in industry: 39derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address