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Registered advisor
M•••••• T••••• S••••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
3 y
since Mar 1, 2023
In the industry
29 y
since Oct 10, 1996 (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
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Mar 1, 2023 · Cincinnati, Oh
- K•• I••••••••• S••••••• L•• BD affiliatedDec 12, 2022 to Feb 21, 2023 · Brooklyn, Oh
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Jan 10, 2022 · Boston, Ma
- S•••••••• A••••••• L•• national BDJan 14, 2003 to Jul 13, 2018 · Covington, Ky
Moves
a registration end followed by a registration begin elsewhere
- K•• I••••••••• S••••••• L•• to E•••••• A••••••• G••••• L••left Feb 21, 2023, registered Mar 1, 2023 (8 days) · Affiliated broker-dealer or bank to another
- F••••••• P••••••• A•• W•••••••• A••••••• to K•• I••••••••• S••••••• L••left Jan 10, 2022, registered Dec 12, 2022 (336 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
Signals
- M•••••• T••••• S•••••• left K•• I••••••••• S••••••• L•• for E•••••• A••••••• G••••• L•• (registered 2023-03-01)Feb 21, 2023 · Advisor changed firm · fact
- M•••••• T••••• S•••••• left F••••••• P••••••• A•• W•••••••• A••••••• for K•• I••••••••• S••••••• L•• (registered 2022-12-12)Jan 10, 2022 · Advisor changed firm · fact
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address