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Registered advisor
M•••••• S••••• S•••••••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
At current firm
3 y
since Feb 27, 2023
In the industry
39 y
since Mar 24, 1987 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••• F••••••••• L••• BD affiliated currentsince Feb 27, 2023 · Indianapolis, In
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Mar 3, 2023 · Richmond, In
- M•• F•••••••• S•••••••• I••• formerNov 5, 1998 to Mar 25, 2017 · Indianapolis, In
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to A••••••• F••••••••• L•••left Mar 3, 2023, registered Feb 27, 2023 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
Signals
- M•••••• S••••• S••••••••• left M•• I•••••••• S•••••••• L•• for A••••••• F••••••••• L••• (registered 2023-02-27)Mar 3, 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address