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Registered advisor
M•••••• B••••••
Feed of 09/14/2026
At current firm
2 y
since Dec 8, 2023
In the industry
29 y
since Sep 4, 1997 (earliest exam, job or registration)
Prior registered firms
4
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Dec 8, 2023 · Beverly Hills, Ca
- R•• C•••••• M••••••• L•• national BDJan 18, 2019 to Dec 22, 2023 · Beverly Hills, Ca
- U•• F•••••••• S••••••• I••• wirehouseDec 12, 2008 to Feb 14, 2019 · Beverly Hills, Ca
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Dec 15, 2008 · Beverly Hills, Ca
- M••••• S•••••• D• I••• unclassifiedAug 24, 1998 to Apr 2, 2007 · Beverly Hills, Ca
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to W•••• F•••• A•••••••left Dec 22, 2023, registered Dec 8, 2023 (-14 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Feb 14, 2019, registered Jan 18, 2019 (-27 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Dec 15, 2008, registered Dec 12, 2008 (-3 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
Signals
- M•••••• B•••••• left R•• C•••••• M••••••• L•• for W•••• F•••• A••••••• (registered 2023-12-08)Dec 22, 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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address