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Registered advisor
S••• M•••••• O••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as S••• M•••••• Oneil
At current firm
17 y
since Jan 8, 2009
In the industry
28 y
since Apr 15, 1998 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•• C•••••• M••••••• L•• national BD currentsince Jan 8, 2009 · Annapolis, Md
- U•• F•••••••• S••••••• I••• wirehouseFeb 4, 2003 to Jan 20, 2009 · Baltimore, Md
- D••••••• B••• S••••••••• I••• no RAUMOct 21, 2002 to Feb 14, 2003 · Washington, Dc
Moves
a registration end followed by a registration begin elsewhere
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Jan 20, 2009, registered Jan 8, 2009 (-12 days) · Wirehouse to affiliated broker-dealer or bank
- D••••••• B••• S••••••••• I••• to U•• F•••••••• S••••••• I•••left Feb 14, 2003, registered Feb 4, 2003 (-10 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address