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Registered advisor
M••• J•••••• D••••
Feed of 09/14/2026
Also filed as M••• J D••••
At current firm
14 y
since Jun 13, 2012
In the industry
38 y
since Aug 4, 1988 (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
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
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jun 13, 2012 · New York, Ny
- M••••• K••••• • C••••••• L•• formerJul 15, 2011 to Mar 13, 2013 · New York, Ny
- R•• C•••••• M••••••• L•• national BDDec 10, 2007 to Mar 19, 2010 · New York, Ny
- A• G• E•••••• • S•••• I••• unclassifiedOct 17, 2005 to Dec 14, 2007 · Moristown, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 24, 2002 to May 22, 2003 · Florham Park, Nj
Moves
a registration end followed by a registration begin elsewhere
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Mar 13, 2013, registered Jun 13, 2012 (-273 days) · corporate re-registration, not a move
- R•• C•••••• M••••••• L•• to M••••• K••••• • C••••••• L••left Mar 19, 2010, registered Jul 15, 2011 (483 days) · Other
- A• G• E•••••• • S•••• I••• to R•• C•••••• M••••••• L••left Dec 14, 2007, registered Dec 10, 2007 (-4 days) · Other
- C•••••••• G••••• M•••••• I••• to A• G• E•••••• • S•••• I•••left May 22, 2003, registered Oct 17, 2005 (879 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address