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Registered advisor
C••••••••• M•••••• B••••
Feed of 09/14/2026
Also filed as C••••••••• M•••••• B••••
At current firm
11 y
since Jun 4, 2015
In the industry
22 y
since Oct 30, 2003 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- C•••••• S••••• • C••• I••• national BD currentsince Jun 4, 2015 · Austin, Tx
- E•••••• A••••••• G••••• L•• BD affiliatedAug 27, 2010 to Oct 5, 2011 · Greenwood Village, Co
- C••• F•••••••• S•••••••• L••• formerApr 7, 2004 to Nov 15, 2004 · Colorado Springs, Co
- A••••••••• A•••••• S•••••••• I••• unclassifiedJan 2, 2004 to Apr 29, 2004 · Colorado Springs, Co
- C••• F•••••••• S•••••••• L••• formerOct 30, 2003 to Dec 19, 2003 · Colorado Springs, Co
Moves
a registration end followed by a registration begin elsewhere
- E•••••• A••••••• G••••• L•• to C•••••• S••••• • C••• I•••left Oct 5, 2011, registered Jun 4, 2015 (1338 days) · Other
- C••• F•••••••• S•••••••• L••• to E•••••• A••••••• G••••• L••left Nov 15, 2004, registered Aug 27, 2010 (2111 days) · Other
- A••••••••• A•••••• S•••••••• I••• to C••• F•••••••• S•••••••• L•••left Apr 29, 2004, registered Apr 7, 2004 (-22 days) · Other
- C••• F•••••••• S•••••••• L••• to A••••••••• A•••••• S•••••••• I•••left Dec 19, 2003, registered Jan 2, 2004 (14 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address