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Registered advisor
M••••••• O••• C•••
Feed of 09/14/2026
Also filed as M••••••• C••••••••• C•••
At current firm
8 y
since Oct 5, 2017
In the industry
27 y
since Feb 3, 1999 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- C•••••• S••••• • C••• I••• national BD currentsince Oct 5, 2017 · Plano, Tx
- L•• F•••••••• L•• BD affiliatedAug 26, 2013 to Sep 26, 2017 · Fresno, Tx
- A••••••••• F•••••••• S•••••••• L•• national BDApr 13, 2011 to Aug 14, 2013 · Dallas, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 9, 2005 to Feb 22, 2007 · Portland, Me
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C•••••• S••••• • C••• I•••left Sep 26, 2017, registered Oct 5, 2017 (9 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Aug 14, 2013, registered Aug 26, 2013 (12 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Feb 22, 2007, registered Apr 13, 2011 (1511 days) · Wirehouse to affiliated broker-dealer or bank
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address