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Registered advisor
M••••• R•••
Feed of 09/14/2026
Also filed as M••••• R•••
At current firm
7 y
since May 15, 2019
In the industry
30 y
since Jun 21, 1996 (earliest exam, job or registration)
Prior registered firms
5
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•••••• S••••• • C••• I••• national BD currentsince May 15, 2019 · Houston, Tx
- T• A••••••••• I••• formerFeb 27, 2018 to Apr 25, 2019 · Houston, Tx
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Apr 25, 2019 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerJan 25, 2017 to Feb 26, 2018 · Saint Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 12, 2006 to Apr 28, 2014 · Houston, Tx
- T• A••••••••• I••• formerNov 6, 2002 to Apr 28, 2014 · Houston, Tx
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Apr 25, 2019, registered Feb 27, 2018 (-422 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Apr 25, 2019, registered May 15, 2019 (20 days) · Other
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• I••••••••• M•••••••••left Apr 28, 2014, registered Jan 25, 2017 (1003 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Apr 28, 2014, registered Jun 12, 2006 (-2877 days) · channel change inside one enterprise, 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
- 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