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Registered advisor
C•••••• A• M•••••
Feed of 09/14/2026
Also filed as Chuck M•••••
At current firm
1 y
since Mar 31, 2025
In the industry
22 y
since Apr 5, 2004 (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
S65, 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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Naperville, Il
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDMay 28, 2015 to Jul 13, 2018 · Schaumburg, Il
- E•••••• C•••••• M••••••••• L•• formerDec 13, 2011 to Apr 9, 2015 · Arlington, Va
- C•••• I••••••••• S••••••• C•••• formerJun 18, 2010 to Nov 30, 2011 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- E•••••• C•••••• M••••••••• L•• to S•••••••• A••••••• L••left Apr 9, 2015, registered May 28, 2015 (49 days) · Other
- C•••• I••••••••• S••••••• C•••• to E•••••• C•••••• M••••••••• L••left Nov 30, 2011, registered Dec 13, 2011 (13 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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address