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Registered advisor
M•••••• D•••• L••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as M•••••• D L••••
At current firm
1 y
since Jul 10, 2025
In the industry
30 y
since Nov 3, 1995 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
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
- L•• F•••••••• L•• BD affiliated currentsince Jul 10, 2025 · Buckeye, Az
- N••• F•••••••• G••••• I••• formerAug 17, 2020 to Jul 10, 2025 · Newport Beach, Ca
- N••• F•••••••• G••••• I••• formerMar 10, 2015 to Jun 1, 2020 · Newport Beach, Ca
- I••••••••• F•••••••• G••••• L•• BD affiliatedNov 30, 2012 to Mar 4, 2015 · San Diego, Ca
- S•••••••• F••••••••• I••• formerJul 11, 2011 to Dec 4, 2012 · Phoenix, Az
Moves
a registration end followed by a registration begin elsewhere
- N••• F•••••••• G••••• I••• to L•• F•••••••• L••left Jul 10, 2025, registered Jul 10, 2025 (0 days) · corporate re-registration, not a move
- I••••••••• F•••••••• G••••• L•• to N••• F•••••••• G••••• I•••left Mar 4, 2015, registered Mar 10, 2015 (6 days) · Other
- S•••••••• F••••••••• I••• to I••••••••• F•••••••• G••••• L••left Dec 4, 2012, registered Nov 30, 2012 (-4 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address