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Registered advisor
M•••••• E••• S•••••
Feed of 09/14/2026
Also filed as Mike S•••••
At current firm
9 y
since Dec 9, 2016
In the industry
28 y
since Mar 13, 1998 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- P•••••••• S••••••••• I••• BD affiliated currentsince Dec 9, 2016 · Tampa, Fl
- O••••••••• • C•• I••• BD affiliatedFeb 3, 2015 to Dec 1, 2016 · Tampa, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 5, 2011 to Feb 3, 2015 · Tampa, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 13, 1998 to Jul 17, 2002 · Tampa, Fl
Moves
a registration end followed by a registration begin elsewhere
- O••••••••• • C•• I••• to P•••••••• S••••••••• I•••left Dec 1, 2016, registered Dec 9, 2016 (8 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O••••••••• • C•• I•••left Feb 3, 2015, registered Feb 3, 2015 (0 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address