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Registered advisor

C•••••• M•••••

S•••••• P••••••• I••••••••• A•••••••• L••BD affiliatedStamford, Ct dual registrantIAPD 2933141

Feed of 09/14/2026

Also filed as Chuck M•••••

At current firm

2 y

since Nov 1, 2023

In the industry

28 y

since Oct 20, 1997 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated current
since Nov 1, 2023 · Stamford, Ct
W•••• F•••• A••••••• wirehouse
Sep 12, 2016 to Nov 10, 2023 · Marietta, Ga
M••••• S•••••• wirehouse
Jun 1, 2009 to Sep 20, 2016 · Atlanta, Ga
M••••• S•••••• • C•• L•• unclassified
Dec 5, 2008 to Jun 1, 2009 · Atlanta, Ga
C•••••••• G••••• M•••••• I••• BD affiliated
Jul 11, 2003 to Dec 17, 2008 · Atlanta, Ga

Moves

a registration end followed by a registration begin elsewhere

W•••• F•••• A••••••• to S•••••• P••••••• I••••••••• A•••••••• L••
left Nov 10, 2023, registered Nov 1, 2023 (-9 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
M••••• S•••••• to W•••• F•••• A•••••••
left Sep 20, 2016, registered Sep 12, 2016 (-8 days) · Wirehouse to wirehouse
M••••• S•••••• • C•• L•• to M••••• S••••••
left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
C•••••••• G••••• M•••••• I••• to M••••• S•••••• • C•• L••
left Dec 17, 2008, registered Dec 5, 2008 (-12 days) · Other

Signals

C•••••• M••••• left W•••• F•••• A••••••• for S•••••• P••••••• I••••••••• A•••••••• L•• (registered 2023-11-01)
Nov 10, 2023 · 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: 28derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address