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Registered advisor
M•••••• C•••• S••••
Feed of 09/15/2026
At current firm
10 y
since Jun 28, 2016
In the industry
28 y
since Mar 27, 1998 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- W•••• F•••• A••••••• wirehouse currentsince Jun 28, 2016 · Charlotte, Nc
- L•• F•••••••• L•• BD affiliatedJan 27, 2014 to Jun 20, 2016 · Fort Mill, Sc
- W•••• F•••• A••••••• wirehouseJul 16, 2007 to Jan 21, 2014 · Charlotte, Nc
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Jun 20, 2016, registered Jun 28, 2016 (8 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jan 21, 2014, registered Jan 27, 2014 (6 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address