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Registered advisor
M•••• F••••••
Feed of 09/14/2026
Also filed as M•••• Lawrence F••••••
At current firm
1 y
since Mar 31, 2025
In the industry
20 y
since Sep 13, 2006 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Spring, Tx
- F••••••• P••••••• A•• W•••••••• A••••••• formerAug 8, 2021 to Mar 31, 2025 · Westlake, Tx
- J••• M••••• S••••••••• L•• wirehouseApr 21, 2016 to Jun 8, 2021 · Houston, Tx
- C•••••• A••••••• BD affiliatedDec 1, 2015 to Dec 11, 2015 · Sugarland, Tx
- L•••••• I••••••••• independent RIASep 10, 2015 to Dec 11, 2015 · Sugar Land, Tx
- U•• F•••••••• S••••••• I••• wirehouseApr 28, 2014 to Feb 27, 2015 · The Woodlands, Tx
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jun 8, 2021, registered Aug 8, 2021 (61 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••• A••••••• to J••• M••••• S••••••••• L••left Dec 11, 2015, registered Apr 21, 2016 (132 days) · Other
- L•••••• I••••••••• to C•••••• A•••••••left Dec 11, 2015, registered Dec 1, 2015 (-10 days) · Other
- U•• F•••••••• S••••••• I••• to L•••••• I•••••••••left Feb 27, 2015, registered Sep 10, 2015 (195 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address