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Registered advisor
C•••••• C••••••• M••••
Feed of 09/14/2026
Also filed as C•••••• Marie C•••••••
At current firm
3 y
since Sep 1, 2023
In the industry
45 y
since Jul 9, 1981 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
4
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Kansas City, Mo
- S•••••••• F••••••••• I••• formerNov 15, 2011 to Sep 1, 2023 · Kansas City, Mo
- N••• F•••••••• G••••• I••• formerJul 14, 2003 to Nov 16, 2011 · Kansas City, Mo
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 1, 1997 to May 20, 2003 · Overland Park, Ks
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- N••• F•••••••• G••••• I••• to S•••••••• F••••••••• I•••left Nov 16, 2011, registered Nov 15, 2011 (-1 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to N••• F•••••••• G••••• I•••left May 20, 2003, registered Jul 14, 2003 (55 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address