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Registered advisor
S••• N• M•••••
Feed of 09/14/2026
Also filed as Sammy Miocic
At current firm
9 y
since Oct 26, 2016
In the industry
31 y
since Jan 17, 1995 (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
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 26, 2016 · Plano, Tx
- C•••• I••••••••• S••••••• C•••• formerNov 16, 2006 to Oct 1, 2012 · New York, Ny
- I••• S••••••••• I••• unclassifiedSep 11, 2006 to Nov 27, 2006 · Williston Park, Ny
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 11, 2005 to Aug 18, 2005 · Jericho, Ny
- E•••• N••••••• S••••••••• I••• formerAug 5, 2005 to Sep 12, 2006 · Mineola, Ny
Moves
a registration end followed by a registration begin elsewhere
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 26, 2016 (1486 days) · corporate re-registration, not a move
- I••• S••••••••• I••• to C•••• I••••••••• S••••••• C••••left Nov 27, 2006, registered Nov 16, 2006 (-11 days) · Other
- E•••• N••••••• S••••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Sep 12, 2006, registered Aug 11, 2005 (-397 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to I••• S••••••••• I•••left Aug 18, 2005, registered Sep 11, 2006 (389 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