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Registered advisor
T••• G••••• S••••••••
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseMinneapolis, Mn dual registrantIAPD 3100732
Feed of 09/14/2026
Also filed as T••• G S••••••••
At current firm
12 y
since Jun 13, 2014
In the industry
27 y
since Apr 23, 1999 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 13, 2014 · Minneapolis, Mn
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 25, 2014 · Minneapolis, Mn
- M••••• S•••••• • C•• L•• unclassifiedJan 23, 2009 to Jun 1, 2009 · Minneapolis, Mn
- U•• F•••••••• S••••••• I••• wirehouseJan 9, 2002 to Feb 11, 2009 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 25, 2014, registered Jun 13, 2014 (-12 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• • C•• L••left Feb 11, 2009, registered Jan 23, 2009 (-19 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address