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Registered advisor
L•• M•••••• S••••••
Feed of 09/15/2026
Also filed as Lee S••••••
At current firm
1 y
since Jun 26, 2025
In the industry
18 y
since Sep 4, 2008 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••• S••••••••• I••• BD affiliated currentsince Jun 26, 2025 · Johnston, Ri
- L•• F•••••••• L•• BD affiliatedJul 12, 2024 to Jul 23, 2025 · Branford, Ct
- W•••• F•••• A••••••• wirehouseAug 7, 2020 to Jul 25, 2024 · White Plains, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 20, 2020 to Jul 22, 2020 · Fort Lee, Nj
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C••••••• S••••••••• I•••left Jul 23, 2025, registered Jun 26, 2025 (-27 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jul 25, 2024, registered Jul 12, 2024 (-13 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Jul 22, 2020, registered Aug 7, 2020 (16 days) · Affiliated broker-dealer or bank to wirehouse
Signals
- L•• M•••••• S•••••• left L•• F•••••••• L•• for C••••••• S••••••••• I••• (registered 2025-06-26)Jul 23, 2025 · Advisor changed firm · fact
- L•• M•••••• S•••••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2024-07-12)Jul 25, 2024 · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address