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Registered advisor
M•••••• J••• S••••
Feed of 09/14/2026
Also filed as Mike J S••••
At current firm
5 y
since Sep 25, 2020
In the industry
36 y
since Sep 25, 1989 (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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Sep 25, 2020 · Fort Myers, Fl
- F•••• A••••• A••••••• S•••••••• I••• formerJan 2, 2015 to Nov 12, 2020 · Ft. Myers, Fl
- F•••••• A••••••• T•• A•• F•••••••• P••••••• unclassifiedJan 2, 2007 to Dec 14, 2010 · Ft. Myers, Fl
- O•••• W•••••• I••• BD affiliatedAug 22, 2006 to Dec 23, 2014 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseMar 23, 2001 to Sep 5, 2006 · Fort Myers, Fl
Moves
a registration end followed by a registration begin elsewhere
- F•••• A••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 12, 2020, registered Sep 25, 2020 (-48 days) · corporate re-registration, not a move
- O•••• W•••••• I••• to F•••••• A••••••• T•• A•• F•••••••• P•••••••left Dec 23, 2014, registered Jan 2, 2007 (-2912 days) · Other
- F•••••• A••••••• T•• A•• F•••••••• P••••••• to F•••• A••••• A••••••• S•••••••• I•••left Dec 14, 2010, registered Jan 2, 2015 (1480 days) · Other
- U•• F•••••••• S••••••• I••• to O•••• W•••••• I•••left Sep 5, 2006, registered Aug 22, 2006 (-14 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address