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Registered advisor
M••••••• C• F••••
Feed of 09/14/2026
Also filed as M••••••• C• F••••
At current firm
0 y
since Apr 14, 2026
In the industry
37 y
since Feb 23, 1989 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Apr 14, 2026 · Ossining, Ny
- L•• E••••••••• L•• BD affiliatedNov 1, 2024 to Jan 2, 2026 · Fort Mill, Sc
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 13, 2023 · Purchase, Ny
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Greenwich, Ct
- M••••• S•••••• D• I••• unclassifiedAug 30, 1991 to Apr 2, 2007 · Westport, Ct
Moves
a registration end followed by a registration begin elsewhere
- L•• E••••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 2, 2026, registered Apr 14, 2026 (102 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to L•• E••••••••• L••left Sep 13, 2023, registered Nov 1, 2024 (415 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
- M••••••• C• F•••• left L•• E••••••••• L•• for C••••• I••••••••• A••••••• L•• (registered 2026-04-14)Jan 2, 2026 · Advisor changed firm · fact
- M••••••• C• F•••• left M••••• S•••••• for L•• E••••••••• L•• (registered 2024-11-01)Sep 13, 2023 · Advisor changed firm · fact
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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address