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Registered advisor
C••••••••• M• G••••••
Feed of 09/14/2026
At current firm
2 y
since May 25, 2024
In the industry
23 y
since Aug 25, 2003 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
7
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
- I•• W••••• M••••••••• L•• BD affiliated currentsince May 25, 2024 · Chicago, Il
- B• R•••• W••••• M••••••••• formerApr 29, 2011 to Apr 8, 2019 · Chicago, Il
- M••••• S•••••• wirehouseJun 1, 2009 to May 5, 2011 · Chicago, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 6, 2006 to Jun 1, 2009 · Chicago, Il
- P•••• S••••••••• L•• no RAUMMar 29, 2004 to Feb 3, 2006 · Rosemont, Il
Moves
a registration end followed by a registration begin elsewhere
- B• R•••• W••••• M••••••••• to I•• W••••• M••••••••• L••left Apr 8, 2019, registered May 25, 2024 (1874 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to B• R•••• W••••• M•••••••••left May 5, 2011, registered Apr 29, 2011 (-6 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- P•••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••left Feb 3, 2006, registered Feb 6, 2006 (3 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
- 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