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Registered advisor
G•••• T••••• M•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as G•••• T••••• M•••••
At current firm
8 y
since Nov 1, 2017
In the industry
24 y
since Feb 7, 2002 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 1, 2017 · Glastonbury, Ct
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Nov 10, 2017 · Glastonbury, Ct
- M•• F•••••••• S•••••••• I••• formerApr 21, 2015 to Mar 25, 2017 · Glastonbury, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 6, 2009 to Apr 21, 2015 · Hartford, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 3, 2005 to Jan 15, 2009 · Hartford, Ct
- E•••• • Y•••• I••••••••• A••••••• L•• no RAUMFeb 7, 2002 to Dec 17, 2004 · Stamford, Ct
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Nov 10, 2017, registered Nov 1, 2017 (-9 days) · Other · moved with a team
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• F•••••••• S•••••••• I•••left Apr 21, 2015, registered Apr 21, 2015 (0 days) · Other
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 15, 2009, registered Jan 6, 2009 (-9 days) · Other
- E•••• • Y•••• I••••••••• A••••••• L•• to C•••••••• G••••• M•••••• I•••left Dec 17, 2004, registered Jan 3, 2005 (17 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address