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Registered advisor
M•••••• L•••• S•••••••
Feed of 09/14/2026
Also filed as M•••••• S•••••••
At current firm
12 y
since Sep 27, 2013
In the industry
40 y
since Nov 8, 1985 (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
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Sep 27, 2013 · Washington Crossing, Pa
- F•••• A••••• A••••••• S•••••••• I••• formerJun 14, 2012 to Oct 4, 2013 · Jenkintown, Pa
- F•••• A••••• S••••••••• I••• formerDec 17, 2007 to Jul 2, 2012 · Jenkintown, Pa
- N••• F•••••••• G••••• I••• formerJan 3, 2005 to Dec 31, 2007 · Jenkintown, Pa
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMar 11, 2004 to Dec 31, 2004 · Jenkintown, Pa
Moves
a registration end followed by a registration begin elsewhere
- F•••• A••••• A••••••• S•••••••• I••• to I••••••••• F•••••••• G••••• L••left Oct 4, 2013, registered Sep 27, 2013 (-7 days) · Other
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 2, 2012, registered Jun 14, 2012 (-18 days) · corporate re-registration, not a move
- N••• F•••••••• G••••• I••• to F•••• A••••• S••••••••• I•••left Dec 31, 2007, registered Dec 17, 2007 (-14 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to N••• F•••••••• G••••• I•••left Dec 31, 2004, registered Jan 3, 2005 (3 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address