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Registered advisor
D••••• B•••• M•••••
Chartered Financial Analyst
Feed of 09/14/2026
At current firm
10 y
since Jan 14, 2016
In the industry
28 y
since Aug 27, 1998 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
3
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
- M••••• S•••••• wirehouse currentsince Jan 14, 2016 · New York, Ny
- P••• I••••••••• L•• asset managerFeb 5, 2004 to Mar 14, 2006 · Newark, Nj
Moves
a registration end followed by a registration begin elsewhere
- P••• I••••••••• L•• to M••••• S••••••left Mar 14, 2006, registered Jan 14, 2016 (3593 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