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Registered advisor
M•••••• P•••
Chartered Financial Analyst
Feed of 09/14/2026
At current firm
2 y
since Oct 2, 2023
In the industry
26 y
since Oct 15, 1999 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- W•••• F•••• A••••••• wirehouse currentsince Oct 2, 2023 · Woodbury, Ny
- E•• F•••••••• A••••••• independent RIAMay 18, 2017 to Feb 25, 2019 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedJun 6, 2011 to Aug 31, 2016 · New York, Ny
- E•••• • Y•••• I••••••••• A••••••• L•• no RAUMJun 18, 2003 to Oct 13, 2004 · Miami, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 15, 1999 to Oct 14, 2002 · Palm Beach, Fl
Moves
a registration end followed by a registration begin elsewhere
- E•• F•••••••• A••••••• to W•••• F•••• A•••••••left Feb 25, 2019, registered Oct 2, 2023 (1680 days) · Affiliated broker-dealer or bank to wirehouse
- H••• S••••••••• •••• I••• to E•• F•••••••• A•••••••left Aug 31, 2016, registered May 18, 2017 (260 days) · Other
- E•••• • Y•••• I••••••••• A••••••• L•• to H••• S••••••••• •••• I•••left Oct 13, 2004, registered Jun 6, 2011 (2427 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••• • Y•••• I••••••••• A••••••• L••left Oct 14, 2002, registered Jun 18, 2003 (247 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address