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Registered advisor
M••••••• M•••• R•••
Feed of 09/14/2026
Also filed as M••••••• Thomas
At current firm
2 y
since Mar 21, 2024
In the industry
31 y
since Mar 21, 1995 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Mar 21, 2024 · Woburn, Ma
- I•••••••• C•••••• A••••••• formerSep 18, 2006 to Oct 3, 2016 · Lynnfield, Ma
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Sep 21, 2006 · Wakefield, Ma
- Q•••• • R•••••• I••• unclassifiedJul 29, 2003 to Oct 20, 2004 · Wakefield, Ma
Moves
a registration end followed by a registration begin elsewhere
- I•••••••• C•••••• A••••••• to C••••• I••••••••• A••••••• L••left Oct 3, 2016, registered Mar 21, 2024 (2726 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to I•••••••• C•••••• A•••••••left Sep 21, 2006, registered Sep 18, 2006 (-3 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address