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Registered advisor
S•••••• M•••••• L•••••
Feed of 09/14/2026
Also filed as S•••••• M• L•••••
At current firm
10 y
since May 2, 2016
In the industry
29 y
since Nov 29, 1996 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- A••••• A•• P••••••• S••••••• BD affiliated currentsince May 2, 2016 · Andover, Ma
- F••••••• P••••••• T•••• C••••••• F•• unclassifiedJan 1, 2001 to Mar 28, 2007 · Boston, Ma
- S•••••••• A••••••• L•• national BDDec 26, 2000 to Apr 6, 2016 · Boston, Ma
Moves
a registration end followed by a registration begin elsewhere
- S•••••••• A••••••• L•• to A••••• A•• P••••••• S•••••••left Apr 6, 2016, registered May 2, 2016 (26 days) · Other
- F••••••• P••••••• T•••• C••••••• F•• to A••••• A•• P••••••• S•••••••left Mar 28, 2007, registered May 2, 2016 (3323 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
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