C•••• M•••••• R•••••••

M••••• S••••••wirehouseDenver, Co dual registrantIAPD 4562943

Feed of 09/15/2026

Also filed as C•••• M• R•••••••

At current firm

6 y

since Jul 3, 2020

In the industry

22 y

since Jul 23, 2004 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M••••• S•••••• wirehouse current
since Jul 3, 2020 · Sedalia, Co
C•••••• S••••• • C••• I••• national BD
May 10, 2010 to Jun 1, 2020 · Denver, Co
T• R••• P•••• A••••••• S•••••••• I••• BD affiliated
Oct 18, 2005 to Apr 22, 2010 · Wellesley, Ma
T• R••• P•••• A••••••• S•••••••• I••• BD affiliated
Dec 10, 2004 to Apr 14, 2005 · Colorado Springs, Co

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to M••••• S••••••
left Jun 1, 2020, registered Jul 3, 2020 (32 days) · Affiliated broker-dealer or bank to wirehouse
T• R••• P•••• A••••••• S•••••••• I••• to C•••••• S••••• • C••• I•••
left Apr 22, 2010, registered May 10, 2010 (18 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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address