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Registered advisor
M•••••• T••••• E••••••
Feed of 09/15/2026
Also filed as M•••••• T E••••••
At current firm
0 y
since Dec 19, 2025
In the industry
29 y
since Dec 27, 1996 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
2
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Mar 10, 2026 · San Clemente, Ca
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Dec 19, 2025 · San Clemente, Ca
- U•• F•••••••• S••••••• I••• wirehouseDec 11, 2015 to Jan 2, 2026 · New York, Ny
- C••••• S••••• S••••••••• •••• L•• formerJan 12, 2009 to Dec 22, 2015 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseSep 24, 2004 to Jan 27, 2009 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 11, 1997 to Sep 28, 2004 · Washington, Dc
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to R••••••••• C•••••• M•••••••••left Jan 2, 2026, registered Dec 19, 2025 (-14 days) · Wirehouse to affiliated broker-dealer or bank
- C••••• S••••• S••••••••• •••• L•• to U•• F•••••••• S••••••• I•••left Dec 22, 2015, registered Dec 11, 2015 (-11 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to C••••• S••••• S••••••••• •••• L••left Jan 27, 2009, registered Jan 12, 2009 (-15 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Sep 28, 2004, registered Sep 24, 2004 (-4 days) · Wirehouse to wirehouse
Signals
- M•••••• T••••• E•••••• left U•• F•••••••• S••••••• I••• for R••••••••• C•••••• M••••••••• (registered 2025-12-19)Jan 2, 2026 · 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