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Registered advisor
S•••• O••••• S••••
Feed of 09/15/2026
Also filed as S•••• O••••• S••••
At current firm
12 y
since Sep 25, 2013
In the industry
23 y
since Apr 17, 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
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•••• C••••••• A••••••• S•••••• BD affiliated currentsince Sep 25, 2013 · Palm Beach Gardens, Fl
- N••• F•••••••• G••••• I••• formerMar 17, 2011 to Sep 24, 2013 · Woodbury, Tn
- M•• F•••••••• S•••••••• I••• formerFeb 18, 2009 to Mar 21, 2011 · Richmond, Va
- W•••• F•••• A••••••• wirehouseApr 21, 2006 to Jul 10, 2008 · Richmond, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 17, 2005 to Oct 31, 2005 · Richmond, Va
Moves
a registration end followed by a registration begin elsewhere
- N••• F•••••••• G••••• I••• to M•••• C••••••• A••••••• S••••••left Sep 24, 2013, registered Sep 25, 2013 (1 days) · Other
- M•• F•••••••• S•••••••• I••• to N••• F•••••••• G••••• I•••left Mar 21, 2011, registered Mar 17, 2011 (-4 days) · Other
- W•••• F•••• A••••••• to M•• F•••••••• S•••••••• I•••left Jul 10, 2008, registered Feb 18, 2009 (223 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Oct 31, 2005, registered Apr 21, 2006 (172 days) · Wirehouse to wirehouse
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address