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Registered advisor
S••• M• G•••••
Certified Financial Planner
Feed of 09/14/2026
At current firm
15 y
since Apr 21, 2011
In the industry
24 y
since Dec 6, 2001 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 21, 2011 · Stuart, Fl
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to Apr 28, 2011 · Winnetka, Il
- J••• M••••• S••••••••• I••• unclassifiedSep 27, 2006 to Oct 1, 2008 · Winnetka, Il
- B••• O•• S••••••••• C••••••••• unclassifiedMay 6, 2004 to Sep 27, 2006 · Wilmette, Il
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 28, 2011, registered Apr 21, 2011 (-7 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
- B••• O•• S••••••••• C••••••••• to J••• M••••• S••••••••• I•••left Sep 27, 2006, registered Sep 27, 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address