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Registered advisor
M••••••• M• M•••••
Feed of 09/15/2026
Also filed as Mimi M•••••
At current firm
15 y
since Sep 19, 2011
In the industry
21 y
since Sep 12, 2005 (earliest exam, job or registration)
Prior registered firms
3
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Sep 19, 2011 · Pasadena, Ca
- R•• C•••••• M••••••• L•• national BDJan 14, 2009 to Sep 1, 2011 · Oakland, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 2, 2007 to Aug 31, 2007 · Seattle, Wa
- O••••••••• • C•• I••• BD affiliatedSep 13, 2005 to Mar 27, 2007 · Bellevue, Wa
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 1, 2011, registered Sep 19, 2011 (18 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••••• G••••• M•••••• I••• to R•• C•••••• M••••••• L••left Aug 31, 2007, registered Jan 14, 2009 (502 days) · Other
- O••••••••• • C•• I••• to C•••••••• G••••• M•••••• I•••left Mar 27, 2007, registered May 2, 2007 (36 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address