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Registered advisor
R••• M• S••••••
Feed of 09/14/2026
Also filed as R••• Michael S••••••
At current firm
1 y
since Mar 31, 2025
In the industry
29 y
since Oct 30, 1996 (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
S66, 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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Hudson, Wi
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 26, 2021 to Mar 31, 2025 · Minnetonka, Mn
- C•••••• A••••••• BD affiliatedJun 10, 2016 to Feb 22, 2018 · Minnetonka, Mn
- L•••••• I••••••••• independent RIAAug 17, 2015 to Feb 22, 2018 · Farmington Hills, Mi
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C•••••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Feb 22, 2018, registered Jul 26, 2021 (1250 days) · Other
- L•••••• I••••••••• to C•••••• A•••••••left Feb 22, 2018, registered Jun 10, 2016 (-622 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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address