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Registered advisor
C•••••• A• M••••
Feed of 09/14/2026
Also filed as C•••••• Ann M••••
At current firm
15 y
since Oct 7, 2010
In the industry
34 y
since Apr 1, 1992 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- O••••••••• • C•• I••• BD affiliated currentsince Oct 7, 2010 · Denver, Co
- A••••••••• L••• otherJan 1, 2006 to Sep 14, 2010 · Denver, Co
- N•••••••• B••••• B• L•• no RAUMJul 8, 1997 to Oct 2, 2002 · San Franscisco, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• L••• to O••••••••• • C•• I•••left Sep 14, 2010, registered Oct 7, 2010 (23 days) · Other
- N•••••••• B••••• B• L•• to A••••••••• L•••left Oct 2, 2002, registered Jan 1, 2006 (1187 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address