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Registered advisor
M••• S•••• E••••
Feed of 09/14/2026
At current firm
16 y
since Oct 23, 2009
In the industry
23 y
since Sep 25, 2002 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 23, 2009 · Westport, Ct
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 1, 2005 to Oct 23, 2009 · Fairfield, Ct
- W•••• F•••• A••••••• wirehouseMay 17, 2005 to Oct 31, 2005 · Danbury, Ct
- M•• F•••••••• S•••••••• I••• formerOct 17, 2003 to Dec 6, 2004 · Shelton, Ct
- U•• F•••••••• S••••••• I••• wirehouseSep 26, 2002 to Oct 2, 2003 · Westport, Ct
Moves
a registration end followed by a registration begin elsewhere
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 31, 2005, registered Dec 1, 2005 (31 days) · Other
- M•• F•••••••• S•••••••• I••• to W•••• F•••• A•••••••left Dec 6, 2004, registered May 17, 2005 (162 days) · Other
- U•• F•••••••• S••••••• I••• to M•• F•••••••• S•••••••• I•••left Oct 2, 2003, registered Oct 17, 2003 (15 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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address