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Registered advisor
M•••••• A•••••• P••••••••
Feed of 09/15/2026
At current firm
1 y
since Oct 7, 2024
In the industry
25 y
since Oct 26, 2000 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Oct 7, 2024 · Waltham, Ma
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedAug 27, 2015 to Oct 7, 2024 · Ocean Springs, Ms
- N••• F•••••••• G••••• I••• formerJan 30, 2009 to Aug 31, 2015 · Ocean Springs, Ms
- F•• S••••••••• C••••••••• formerJul 12, 2004 to Feb 3, 2009 · Ocean Springs, Ms
- P•••• S••••••••• L•• no RAUMDec 5, 2002 to Apr 20, 2004 · Ocean Springs, Ms
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• I••••••••• R••••••• A•••••••• I••• to C••••••••• F•••••••• N••••••left Oct 7, 2024, registered Oct 7, 2024 (0 days) · Affiliated broker-dealer or bank to another
- N••• F•••••••• G••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 31, 2015, registered Aug 27, 2015 (-4 days) · Other
- F•• S••••••••• C••••••••• to N••• F•••••••• G••••• I•••left Feb 3, 2009, registered Jan 30, 2009 (-4 days) · Other
- P•••• S••••••••• L•• to F•• S••••••••• C•••••••••left Apr 20, 2004, registered Jul 12, 2004 (83 days) · Other
Signals
- M•••••• A•••••• P•••••••• left C•••••••• I••••••••• R••••••• A•••••••• I••• for C••••••••• F•••••••• N•••••• (registered 2024-10-07)Oct 7, 2024 · Advisor changed firm · fact
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address