C•••••••• M••• G••••••

C•••••• S••••• • C••• I•••national BDWestlake, Txdual registrantIAPD 4322287

Feed of 09/14/2026

Also filed as C•••• M• G••••••••• G••••••

At current firm

8 y

since Jan 22, 2018

In the industry

25 y

since Mar 20, 2001 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••• S••••• • C••• I••• national BD current
since Jan 22, 2018 · Westlake, Tx
S•••••••• I••••••••• M••••••••• former
Jan 24, 2017 to Jan 16, 2018 · Saint Louis, Mo
T• A••••••••• I••• former
Dec 12, 2013 to Dec 7, 2015 · Westlake, Tx
T• A••••••••• I••••••••• M••••••••• L•• former
Dec 12, 2013 to Dec 7, 2015 · Fort Worth, Tx
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Dec 11, 2013 · Coppell, Tx
C•••• I••••••••• S••••••• C•••• former
Jan 11, 2012 to Oct 1, 2012 · Coppell, Tx
E••••• J•••• national BD
Jul 26, 2010 to Oct 21, 2011 · Lewisville, Tx

Moves

a registration end followed by a registration begin elsewhere

S•••••••• I••••••••• M••••••••• to C•••••• S••••• • C••• I•••
left Jan 16, 2018, registered Jan 22, 2018 (6 days) · Affiliated broker-dealer or bank to another · moved with a team
T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• I••••••••• M•••••••••
left Dec 7, 2015, registered Jan 24, 2017 (414 days) · Other
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Dec 7, 2015, registered Dec 12, 2013 (-725 days) · channel change inside one enterprise, not a move · moved with a team
J••• M••••• S••••••••• L•• to T• A••••••••• I•••
left Dec 11, 2013, registered Dec 12, 2013 (1 days) · Other
C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
E••••• J•••• to C•••• I••••••••• S••••••• C••••
left Oct 21, 2011, registered Jan 11, 2012 (82 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: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address