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Registered advisor
P••• M•••• M••••••••
Feed of 09/14/2026
Also filed as P••• M•••• M••••••••
At current firm
21 y
since Aug 17, 2005
In the industry
31 y
since Sep 27, 1994 (earliest exam, job or registration)
Prior registered firms
3
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Aug 17, 2005 · Houston, Tx
- M••••• K••••• • C••••••• L•• formerJun 28, 2004 to Nov 19, 2004 · Houston, Tx
- W•••• F•••• A••••••• wirehouseFeb 26, 2003 to Feb 18, 2004 · Houston, Tx
- P••••••••• E••••• G••••• L•• unclassifiedOct 10, 2001 to Jan 2, 2003 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- M••••• K••••• • C••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 19, 2004, registered Aug 17, 2005 (271 days) · Other
- W•••• F•••• A••••••• to M••••• K••••• • C••••••• L••left Feb 18, 2004, registered Jun 28, 2004 (131 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jan 2, 2003, registered Feb 26, 2003 (55 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
- Wirehousederived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address