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Registered advisor
M•••••• R••••• G•••••
Feed of 09/15/2026
Also filed as Mike R••••• G•••••
At current firm
0 y
since Feb 13, 2026
In the industry
34 y
since Feb 28, 1992 (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, 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
- U••• B•••••• A•••••••• L•• BD affiliated currentsince Feb 13, 2026 · Signal Hill, Ca
- U••• B•••••• I••••••••• I••• formerNov 20, 2017 to Feb 13, 2026 · Irvine, Ca
- C••• B•••••••• S•••••••• I••• formerJan 22, 2007 to Nov 27, 2017 · Waverly, Ia
- C••• F•••••••• S•••••••• L••• formerSep 1, 2004 to Jan 24, 2007 · Santa Ana, Ca
- C••••••• I••••••••• S••••••• unclassifiedMar 7, 2003 to Aug 26, 2004 · Seal Beach, Ca
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to U••• B•••••• A•••••••• L••left Feb 13, 2026, registered Feb 13, 2026 (0 days) · corporate re-registration, not a move
- C••• B•••••••• S•••••••• I••• to U••• B•••••• I••••••••• I•••left Nov 27, 2017, registered Nov 20, 2017 (-7 days) · Other
- C••• F•••••••• S•••••••• L••• to C••• B•••••••• S•••••••• I•••left Jan 24, 2007, registered Jan 22, 2007 (-2 days) · Other
- C••••••• I••••••••• S••••••• to C••• F•••••••• S•••••••• L•••left Aug 26, 2004, registered Sep 1, 2004 (6 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