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Feed of 09/14/2026
At current firm
14 y
since Oct 11, 2011
In the industry
21 y
since Mar 4, 2005 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, 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
- M••••• S•••••• wirehouse currentsince Oct 11, 2011 · Clayton, Mo
- M• H••••••• S••••••••• I••• BD affiliatedOct 25, 2010 to May 23, 2011 · Chicago, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 10, 2008 to Feb 5, 2009 · Chicago, Il
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJan 5, 2007 to Sep 3, 2008 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- M• H••••••• S••••••••• I••• to M••••• S••••••left May 23, 2011, registered Oct 11, 2011 (141 days) · Other
- C•••••••• G••••• M•••••• I••• to M• H••••••• S••••••••• I•••left Feb 5, 2009, registered Oct 25, 2010 (627 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to C•••••••• G••••• M•••••• I•••left Sep 3, 2008, registered Oct 10, 2008 (37 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address