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Registered advisor

C•••••• S•••• W•••••

C•••••••• G••••• M•••••• I•••BD affiliatedDallas, Tx dual registrantIAPD 4869042

Feed of 09/15/2026

Also filed as C•••••• S W•••••

At current firm

0 y

since Nov 17, 2025

In the industry

21 y

since Feb 9, 2005 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C•••••••• G••••• M•••••• I••• BD affiliated current
since Nov 17, 2025 · Denver, Co
J••• M••••• S••••••••• L•• wirehouse
Jul 17, 2023 to Nov 10, 2025 · New York, Ny
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2008 to Apr 7, 2010 · Chicago, Il
J••• M••••• S••••••••• I••• unclassified
Feb 22, 2007 to Oct 1, 2008 · Chicago, Il
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 5, 2005 to Feb 13, 2007 · Chicago, Il
B••• O•• S••••••••• C••••••••• unclassified
Feb 11, 2005 to May 4, 2005 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••
left Nov 10, 2025, registered Nov 17, 2025 (7 days) · Wirehouse to affiliated broker-dealer or bank
J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••
left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• I•••
left Feb 13, 2007, registered Feb 22, 2007 (9 days) · Other
B••• O•• S••••••••• C••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left May 4, 2005, registered May 5, 2005 (1 days) · Other

Signals

C•••••• S•••• W••••• left J••• M••••• S••••••••• L•• for C•••••••• G••••• M•••••• I••• (registered 2025-11-17)
Nov 10, 2025 · Advisor changed firm · fact

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: 21derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address