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Registered advisor
T••••• M••••• L•••
Feed of 09/14/2026
Also filed as T••••• M•••••• L•••
At current firm
14 y
since Mar 8, 2012
In the industry
43 y
since May 19, 1983 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
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
Professional profileWhat is shown hereOnly business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
title, designations and roles as the firm prints them
- Title
- Vice President/Investmentsreportedstifel.comfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Mar 8, 2012 · Frederick, Md
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 21, 2012 · Frederick, Md
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Jun 1, 2009 · Frederick, Md
- L••• M•••• W••• W•••••• I••••••••• unclassifiedJun 9, 2004 to Feb 21, 2006 · Frederick, Md
- C•••••• S••••• • C••• I••• national BDMay 18, 2000 to Apr 22, 2004 · Gaithersburg, Md
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Mar 21, 2012, registered Mar 8, 2012 (-13 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to L••• M•••• W••• W•••••• I•••••••••left Apr 22, 2004, registered Jun 9, 2004 (48 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
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