S•••• L••••••• B••••

W•••• F•••• A•••••••wirehouseBozeman, Mt dual registrantIAPD 2492935

Feed of 09/15/2026

At current firm

9 y

since Sep 22, 2017

In the industry

32 y

since Jul 22, 1994 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

W•••• F•••• A••••••• wirehouse current
since Sep 22, 2017 · Bozeman, Mt
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 13, 2006 to Sep 26, 2017 · Bozeman, Mt
C•••••••• G••••• M•••••• I••• BD affiliated
Dec 19, 2001 to Feb 1, 2006 · Baltimore, Md

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••
left Sep 26, 2017, registered Sep 22, 2017 (-4 days) · Wirehouse to wirehouse · moved with a team
C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Feb 1, 2006, registered Jan 13, 2006 (-19 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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address