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Registered advisor
T•••• M••••••• S•••••
Feed of 09/15/2026
Also filed as Tracy Michelle Moquin
At current firm
1 y
since Mar 24, 2025
In the industry
21 y
since Jun 21, 2005 (earliest exam, job or registration)
Prior registered firms
8
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Mar 24, 2025 · St. Louis, Mo
- L•• E••••••••• L•• BD affiliatedJan 4, 2025 to Apr 4, 2025 · Fort Mill, Sc
- E•••••• A••••••• G••••• L•• BD affiliatedNov 9, 2021 to Oct 18, 2024 · Westminster, Md
- L•• F•••••••• L•• BD affiliatedSep 15, 2021 to Oct 28, 2021 · Westminister, Md
- W•••• F•••• A••••••• wirehouseJan 8, 2020 to Mar 23, 2021 · Lutherville, Md
- M••••• S•••••• wirehouseJun 7, 2017 to Jan 15, 2019 · Baltimore, Md
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 5, 2016 to May 30, 2017 · Hunt Valley, Md
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedAug 5, 2011 to May 13, 2014 · Owings Mills, Md
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedMay 7, 2008 to Nov 11, 2010 · Owings Mills, Md
Moves
a registration end followed by a registration begin elsewhere
- L•• E••••••••• L•• to E••••• J••••left Apr 4, 2025, registered Mar 24, 2025 (-11 days) · Affiliated broker-dealer or bank to another
- E•••••• A••••••• G••••• L•• to L•• E••••••••• L••left Oct 18, 2024, registered Jan 4, 2025 (78 days) · Affiliated broker-dealer or bank to a newly registered adviser
- L•• F•••••••• L•• to E•••••• A••••••• G••••• L••left Oct 28, 2021, registered Nov 9, 2021 (12 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Mar 23, 2021, registered Sep 15, 2021 (176 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to W•••• F•••• A•••••••left Jan 15, 2019, registered Jan 8, 2020 (358 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left May 30, 2017, registered Jun 7, 2017 (8 days) · Wirehouse to wirehouse · moved with a team
- T• R••• P•••• A••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 13, 2014, registered Apr 5, 2016 (693 days) · Other
Signals
- T•••• M••••••• S••••• left L•• E••••••••• L•• for E••••• J•••• (registered 2025-03-24)Apr 4, 2025 · Advisor changed firm · fact
- T•••• M••••••• S••••• left E•••••• A••••••• G••••• L•• for L•• E••••••••• L•• (registered 2025-01-04)Oct 18, 2024 · 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
- 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