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Registered advisor
M•••••• H•••••
Feed of 09/14/2026
At current firm
6 y
since Jul 14, 2020
In the industry
43 y
since Aug 1, 1983 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- L•• F•••••••• L•• BD affiliated currentsince Jul 14, 2020 · San Mateo, Ca
- W•••• F•••• A••••••• wirehouseFeb 2, 2010 to Jul 15, 2020 · Palo Alto, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Feb 11, 2010 · San Jose, Ca
- C••••••• I••••••••• S••••••• unclassifiedAug 29, 2002 to May 29, 2007 · Palo Alto, Ca
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jul 15, 2020, registered Jul 14, 2020 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Feb 11, 2010, registered Feb 2, 2010 (-9 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address