M•••••• J• M••••••

S•••••••• A•••••••• L••BD affiliatedLittleton, Codual registrantIAPD 3098677

Feed of 09/14/2026

Also filed as M•••••• J••••• M••••••

At current firm

4 y

since Sep 9, 2022

In the industry

26 y

since Dec 14, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A•••••••• L•• BD affiliated current
since Sep 9, 2022 · Littleton, Co
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jun 23, 2008 to Sep 12, 2022 · Los Angeles, Ca
C•••••••• G••••• M•••••• I••• BD affiliated
Jan 7, 2002 to Jul 2, 2008 · Irvine, Ca

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A•••••••• L••
left Sep 12, 2022, registered Sep 9, 2022 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Jul 2, 2008, registered Jun 23, 2008 (-9 days) · Other

Signals

••• Locked
Sep 12, 2022 · 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: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address