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Registered advisor
C•••••• E•••• M•••••
Feed of 09/15/2026
Also filed as C•••••• E•••• M•••••
At current firm
11 y
since Feb 6, 2015
In the industry
27 y
since Oct 20, 1998 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Feb 6, 2015 · Portland, Me
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 20, 2007 to Jun 25, 2012 · Portland, Me
- R•• C•••••• M••••••• L•• national BDMar 31, 2004 to Nov 1, 2007 · Portland, Me
- L••• M•••• W••• W•••••• I••••••••• unclassifiedFeb 5, 2003 to Sep 15, 2003 · Portland, Md
- L••• M•••• W••• W•••••• I••••••••• unclassifiedAug 26, 2002 to Nov 19, 2002 · Portland, Me
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••••• M••••••••• S•••• L••left Jun 25, 2012, registered Feb 6, 2015 (956 days) · Other
- R•• C•••••• M••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 1, 2007, registered Nov 20, 2007 (19 days) · Affiliated broker-dealer or bank to wirehouse
- L••• M•••• W••• W•••••• I••••••••• to R•• C•••••• M••••••• L••left Sep 15, 2003, registered Mar 31, 2004 (198 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address