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Registered advisor
D••••• M•••• B•••••••••
Feed of 09/14/2026
Also filed as D••••• Harbison
At current firm
2 y
since Jan 19, 2024
In the industry
32 y
since Apr 11, 1994 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65, 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•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · Warrenville, Il
- W••••••• F•••••••• S•••••••• I••• formerDec 11, 2012 to Jan 19, 2024 · Warrenville, Il
- S•• BD affiliatedFeb 29, 2012 to Dec 10, 2012 · Lisle, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 10, 2011 to Mar 1, 2012 · Lisle, Il
- M••••• S•••••• wirehouseDec 15, 2009 to Feb 4, 2011 · Oakbrook Terrace, Il
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to Jun 17, 2009 · New York, Ny
- J••• M••••• S••••••••• I••• unclassifiedFeb 21, 2007 to Oct 1, 2008 · New York, Ny
- B••• O•• S••••••••• C••••••••• unclassifiedSep 26, 2002 to Sep 22, 2003 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- S•• to W••••••• F•••••••• S•••••••• I•••left Dec 10, 2012, registered Dec 11, 2012 (1 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••left Mar 1, 2012, registered Feb 29, 2012 (-1 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 4, 2011, registered Jan 10, 2011 (-25 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• L•• to M••••• S••••••left Jun 17, 2009, registered Dec 15, 2009 (181 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
- B••• O•• S••••••••• C••••••••• to J••• M••••• S••••••••• I•••left Sep 22, 2003, registered Feb 21, 2007 (1248 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address