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Registered advisor
F•••• E••••• M•••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
2 y
since Jun 14, 2024
In the industry
32 y
since May 23, 1994 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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 Jun 14, 2024 · Stratford, Ct
- S••••••••• A•••••• A•••••••• I••• formerOct 24, 2017 to Jun 14, 2024 · Stratford, Ct
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerApr 3, 2006 to Oct 27, 2017 · South Windsor, Ct
- O•••• F•• I••• formerMar 14, 2003 to Apr 3, 2006 · Stratford, Ct
- P•••••• A••••••• S••••••• I•• unclassifiedJan 27, 1998 to Mar 25, 2003 · Trumbull, Ct
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S••••••••• A•••••• A•••••••• I•••left Oct 27, 2017, registered Oct 24, 2017 (-3 days) · Other · moved with a team
- O•••• F•• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Apr 3, 2006, registered Apr 3, 2006 (0 days) · Other
- P•••••• A••••••• S••••••• I•• to O•••• F•• I•••left Mar 25, 2003, registered Mar 14, 2003 (-11 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