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Registered advisor
M•••••• A•••••• D••••••••
Feed of 09/15/2026
At current firm
6 y
since Jan 29, 2020
In the industry
33 y
since Mar 3, 1993 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jan 29, 2020 · Tomball, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDMar 8, 2010 to Jan 6, 2020 · Minneapolis, Mn
- M••••• S•••••• wirehouseJun 1, 2009 to Mar 9, 2010 · Santa Ana, Ca
- M••••• S•••••• • C•• L•• unclassifiedJul 29, 2008 to Jun 1, 2009 · Newport Beach, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Jul 28, 2008 · Newport Beach, Ca
- C••••••• I••••••••• S••••••• unclassifiedJun 25, 2002 to May 29, 2007 · Laguna Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 6, 2020, registered Jan 29, 2020 (23 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Mar 9, 2010, registered Mar 8, 2010 (-1 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to M••••• S•••••• • C•• L••left Jul 28, 2008, registered Jul 29, 2008 (1 day) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address