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Registered advisor
D••••• J••••• M••••
Feed of 09/14/2026
Also filed as Dan M••••
At current firm
5 y
since Jul 21, 2021
In the industry
22 y
since Oct 30, 2003 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S66, 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
- L•• F•••••••• L•• BD affiliated currentsince Jul 21, 2021 · Arlington, Tx
- W•••••• • R••• formerDec 12, 2012 to Jul 21, 2021 · Colleyville, Tx
- Q•••••• A•••• M••••••••• I••• formerApr 4, 2012 to Dec 4, 2012 · Minneapolis, Mn
- W•••••• • R••• formerJan 24, 2008 to Apr 5, 2012 · Colleyville, Tx
- E••••• J•••• national BDFeb 22, 2007 to Apr 17, 2007 · St Louis, Mo
- V••• F•••••••• P•••••••• L•• formerJun 3, 2005 to Nov 8, 2006 · Kaneohe, Hi
- C••• F•••••••• S•••••••• L••• formerOct 26, 2004 to May 31, 2005 · Honolulu, Ca
- V•••• F•••••••• A•••••••• I••• BD affiliatedApr 5, 2004 to Oct 26, 2004 · Honolulu, Hi
Moves
a registration end followed by a registration begin elsewhere
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- Q•••••• A•••• M••••••••• I••• to W•••••• • R•••left Dec 4, 2012, registered Dec 12, 2012 (8 days) · Other
- W•••••• • R••• to Q•••••• A•••• M••••••••• I•••left Apr 5, 2012, registered Apr 4, 2012 (-1 days) · Other
- E••••• J•••• to W•••••• • R•••left Apr 17, 2007, registered Jan 24, 2008 (282 days) · Other
- V••• F•••••••• P•••••••• L•• to E••••• J••••left Nov 8, 2006, registered Feb 22, 2007 (106 days) · Other
- C••• F•••••••• S•••••••• L••• to V••• F•••••••• P•••••••• L••left May 31, 2005, registered Jun 3, 2005 (3 days) · Other
- V•••• F•••••••• A•••••••• I••• to C••• F•••••••• S•••••••• L•••left Oct 26, 2004, registered Oct 26, 2004 (0 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address