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Registered advisor
D•••••• R••• M•••••••
Feed of 09/14/2026
Also filed as D•••••• R••• M•••••••
At current firm
0 y
since Jul 16, 2026
In the industry
21 y
since Oct 27, 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
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 16, 2026 · Baltic, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDJan 21, 2020 to Jun 29, 2026 · Downers Grove, Il
- M••••• S•••••• wirehouseApr 4, 2017 to Sep 25, 2019 · Chicago, Il
- A••••••••• F•••••••• S•••••••• L•• national BDSep 7, 2012 to Aug 26, 2015 · San Diego, Ca
- U••• B•••••• A•••••••• L•• BD affiliatedApr 21, 2010 to Oct 1, 2012 · San Diego, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Sep 25, 2019, registered Jan 21, 2020 (118 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••left Aug 26, 2015, registered Apr 4, 2017 (587 days) · Affiliated broker-dealer or bank to wirehouse
- U••• B•••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Oct 1, 2012, registered Sep 7, 2012 (-24 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address