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Registered advisor
S•••• M••••••• M••••••
Feed of 09/14/2026
Also filed as S•••• M••••••• M••••••
At current firm
7 y
since Jan 3, 2019
In the industry
29 y
since Jul 14, 1997 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jan 3, 2019 · New Hyde Park, Ny
- M••••• S•••••• wirehouseMay 13, 2011 to Feb 22, 2016 · Melville, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 21, 2008 to May 17, 2011 · Melville, Ny
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Feb 22, 2016, registered Jan 3, 2019 (1046 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left May 17, 2011, registered May 13, 2011 (-4 days) · Wirehouse to wirehouse
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