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Feed of 09/14/2026
Also filed as Mike Harper
At current firm
7 y
since Dec 3, 2018
In the industry
43 y
since Apr 28, 1983 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Dec 3, 2018 · Canton, Ga
- L•• F•••••••• L•• BD affiliatedSep 13, 2018 to Dec 10, 2018 · John Creek, Ga
- L•• F•••••••• L•• BD affiliatedFeb 14, 2018 to Aug 23, 2018 · Monroe, Ga
- I••••• F•••••••• C••••••••• formerJun 16, 2004 to Feb 14, 2018 · Duluth, Ga
- B••• I••••••••• S•••••••• I••• formerJul 18, 2003 to Jun 7, 2004 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to E••••• J••••left Dec 10, 2018, registered Dec 3, 2018 (-7 days) · RIA to affiliated broker-dealer or bank
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 14, 2018, registered Feb 14, 2018 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to I••••• F•••••••• C•••••••••left Jun 7, 2004, registered Jun 16, 2004 (9 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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address