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Registered advisor
E•••• T•••••• M••••
Feed of 09/14/2026
Also filed as Tim M••••
At current firm
9 y
since Oct 14, 2016
In the industry
25 y
since Jan 17, 2001 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
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
- V••••••• A•••••••• I••• BD affiliated currentsince Oct 14, 2016 · Charlotte, Nc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 30, 2014 to Oct 5, 2016 · Chandler, Az
- S••••• W••••• A•••••••• I••• no RAUMJan 3, 2012 to Oct 22, 2014 · Phoenix, Az
- C•••••• S••••• • C••• I••• national BDJan 23, 2008 to Dec 31, 2011 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to V••••••• A•••••••• I•••left Oct 5, 2016, registered Oct 14, 2016 (9 days) · Other
- S••••• W••••• A•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 22, 2014, registered Oct 30, 2014 (8 days) · Other
- C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••left Dec 31, 2011, registered Jan 3, 2012 (3 days) · corporate re-registration, not a move
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address