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Registered advisor
S•••• M•• A•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as S•••• Randolph
At current firm
7 y
since Nov 16, 2018
In the industry
15 y
since Jan 7, 2011 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
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 Nov 16, 2018 · Cincinnati, Oh
- S••••••• F•••••••• S••••••••• I••• unclassifiedOct 25, 2017 to Nov 14, 2018 · Cincinnati, Oh
- U••• B•••••• I••••••••• I••• formerJan 17, 2013 to Aug 24, 2017 · Cincinnati, Oh
- A••••••••• F•••••••• S•••••••• L•• national BDJan 7, 2011 to Nov 9, 2012 · Cincinnati, Oh
Moves
a registration end followed by a registration begin elsewhere
- S••••••• F•••••••• S••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Nov 14, 2018, registered Nov 16, 2018 (2 days) · Other
- U••• B•••••• I••••••••• I••• to S••••••• F•••••••• S••••••••• I•••left Aug 24, 2017, registered Oct 25, 2017 (62 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to U••• B•••••• I••••••••• I•••left Nov 9, 2012, registered Jan 17, 2013 (69 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address