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Registered advisor
A•••••• R••••• G••••••
Feed of 09/14/2026
Also filed as A•••••• G••••••
At current firm
10 y
since Aug 31, 2016
In the industry
28 y
since Apr 11, 1998 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
1
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
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Aug 31, 2016 · Vero Beach, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 15, 2014 to Mar 16, 2016 · Stuart, Fl
- W•••• F•••• A••••••• wirehouseAug 10, 2007 to Aug 18, 2014 · Vero Beach, Fl
- S•••••• N••••••• • C••••••• I••••••••• national BDJun 5, 2007 to Jun 14, 2007 · Bel Air, Md
- R••• B••• • C•• unclassifiedDec 5, 2006 to Jun 5, 2007 · Bel Air, Md
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Dec 7, 2006 · Bel Air, Md
- L••• M•••• W••• W•••••• I••••••••• unclassifiedSep 28, 2000 to Feb 21, 2006 · Bel Air, Md
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T••••• A••••••• S•••••••• I•••left Mar 16, 2016, registered Aug 31, 2016 (168 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 18, 2014, registered Sep 15, 2014 (28 days) · Wirehouse to wirehouse
- S•••••• N••••••• • C••••••• I••••••••• to W•••• F•••• A•••••••left Jun 14, 2007, registered Aug 10, 2007 (57 days) · Affiliated broker-dealer or bank to wirehouse
- R••• B••• • C•• to S•••••• N••••••• • C••••••• I•••••••••left Jun 5, 2007, registered Jun 5, 2007 (0 days) · Other
- C•••••••• G••••• M•••••• I••• to R••• B••• • C••left Dec 7, 2006, registered Dec 5, 2006 (-2 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address