M••••• A•••••• T••••••

L•• F•••••••• L••BD affiliatedMesa, Azdual registrantIAPD 4557172

Feed of 09/14/2026

Also filed as M••••• A•••••• T••••••••• A•••••• T••••••••• T••••••

At current firm

1 y

since May 15, 2025

In the industry

24 y

since Jul 31, 2002 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

L•• F•••••••• L•• BD affiliated current
since May 15, 2025 · Mesa, Az
C••• F•••••••• S•••••••• L••• former
Jul 22, 2022 to May 15, 2025 · Tempe, Az
L•• F•••••••• L•• BD affiliated
May 18, 2022 to Jul 27, 2022 · Phoenix, Az
C••• B•••••••• S•••••••• I••• former
May 14, 2020 to May 18, 2022 · Phoenix, Az
C••••••••• I••••••••• M••••••••• unclassified
Jun 24, 2008 to Dec 11, 2009 · New Haven, Ct
C•••• I••••••••• S••••••• C•••• former
Mar 19, 2008 to Mar 20, 2008 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

C••• F•••••••• S•••••••• L••• to L•• F•••••••• L••
left May 15, 2025, registered May 15, 2025 (0 days) · corporate re-registration, not a move
L•• F•••••••• L•• to C••• F•••••••• S•••••••• L•••
left Jul 27, 2022, registered Jul 22, 2022 (-5 days) · RIA to affiliated broker-dealer or bank
C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••
left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
C••••••••• I••••••••• M••••••••• to C••• B•••••••• S•••••••• I•••
left Dec 11, 2009, registered May 14, 2020 (3807 days) · Other
C•••• I••••••••• S••••••• C•••• to C••••••••• I••••••••• M•••••••••
left Mar 20, 2008, registered Jun 24, 2008 (96 days) · Other

Signals

••• Locked
Jul 27, 2022 · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 24derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address