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A••••• M•••• S••••
Registered advisorat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· Indianapolis, InIAPD 4817159
As of · the IAPD feed; also filed as A••••• M•••• F••••••••• M•••• F•••••••
- At current firm
- 17 y
- In the industry
- 22 y
- Prior registered firms
- 2
- Signals
- 0
since Aug 24, 2009
As of · the IAPD feed; also filed as A••••• M•••• F••••••••• M•••• F•••••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Aug 24, 2009 · Indianapolis, In
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 31, 2009 · Indianapolis, In
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 23, 2005 to Jun 1, 2009 · Indianapolis, In
Moves
a registration end followed by a registration begin elsewhere
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Aug 31, 2009, registered Aug 24, 2009 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
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