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Registered advisor
M•••••• J••••• M••••
Feed of 09/14/2026
Also filed as Mike M••••
At current firm
4 y
since Dec 22, 2021
In the industry
47 y
since Aug 29, 1979 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
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••••••••• F•••••••• N•••••• national BD currentsince Dec 22, 2021 · Spokane, Wa
- S••••••••• A•••••• A•••••••• I••• formerNov 6, 2020 to Dec 21, 2021 · Sun City West, Az
- K•• F•••••••• S•••••••• I•• formerMar 10, 2008 to Nov 6, 2020 · Seattle, Wa
- U•• F•••••••• S••••••• I••• wirehouseAug 12, 2006 to Mar 20, 2008 · Kennewick, Wa
- P•••• S•••••• • C•• institutionalAug 22, 2000 to Aug 12, 2006 · Kennewick, Wa
Moves
a registration end followed by a registration begin elsewhere
- S••••••••• A•••••• A•••••••• I••• to C••••••••• F•••••••• N••••••left Dec 21, 2021, registered Dec 22, 2021 (1 days) · Affiliated broker-dealer or bank to another
- K•• F•••••••• S•••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Nov 6, 2020, registered Nov 6, 2020 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to K•• F•••••••• S•••••••• I••left Mar 20, 2008, registered Mar 10, 2008 (-10 days) · Other
- P•••• S•••••• • C•• to U•• F•••••••• S••••••• I•••left Aug 12, 2006, registered Aug 12, 2006 (0 days) · corporate re-registration, not a move
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
- 47derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address