DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
M•••••• P•••• C•••
Feed of 09/14/2026
At current firm
11 y
since Jan 16, 2015
In the industry
28 y
since Oct 28, 1997 (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
- C••••••••• F•••••••• N•••••• national BD currentsince Jan 16, 2015 · Portland, Me
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 27, 2015 · Portland, Me
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 16, 2005 to Jun 1, 2009 · Portland, Me
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to C••••••••• F•••••••• N••••••left Jan 27, 2015, registered Jan 16, 2015 (-11 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address