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Registered advisor
L•••• O•••••• M•••••
Feed of 09/14/2026
Also filed as L•••• Obrian M•••••
At current firm
4 y
since Jan 7, 2022
In the industry
30 y
since Jan 17, 1996 (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
1
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jan 7, 2022 · Houston, Tx
- E••••• J•••• national BDJan 28, 2019 to Jan 10, 2022 · Houston, Tx
- I•••••• A•••••••• I••• asset managerAug 20, 2018 to Dec 4, 2018 · Houston, Tx
- V•• K••••• A••••••• I•• unclassifiedApr 26, 2004 to Oct 29, 2008 · Oakbrook Terrace, Il
Moves
a registration end followed by a registration begin elsewhere
- E••••• J•••• to R•••••• J•••• • A••••••••• I•••left Jan 10, 2022, registered Jan 7, 2022 (-3 days) · Affiliated broker-dealer or bank to another
- I•••••• A•••••••• I••• to E••••• J••••left Dec 4, 2018, registered Jan 28, 2019 (55 days) · Other
- V•• K••••• A••••••• I•• to I•••••• A•••••••• I•••left Oct 29, 2008, registered Aug 20, 2018 (3582 days) · Other
Signals
- L•••• O•••••• M••••• left E••••• J•••• for R•••••• J•••• • A••••••••• I••• (registered 2022-01-07)Jan 10, 2022 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address