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Registered advisor
S•••• E•••••• R••••••
Feed of 09/14/2026
At current firm
1 y
since Oct 29, 2024
In the industry
29 y
since Jul 1, 1997 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 29, 2024 · Washington, Dc
- T••••• A••••••• S•••••••• I••• BD affiliatedFeb 17, 2021 to Oct 10, 2023 · Washington, Dc
- B••• S••••••••• L•• formerJan 2, 2018 to Feb 17, 2021 · Washington, Dc
- B••• I••••••••• S•••••••• I••• formerFeb 14, 2006 to Jan 2, 2018 · Alexandria, Va
- B••• A•••• M••••••••• I••• unclassifiedMay 31, 2005 to Feb 14, 2006 · Alexandria, Va
Moves
a registration end followed by a registration begin elsewhere
- T••••• A••••••• S•••••••• I••• to J••• M••••• S••••••••• L••left Oct 10, 2023, registered Oct 29, 2024 (385 days) · Affiliated broker-dealer or bank to wirehouse
- B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
- B••• I••••••••• S•••••••• I••• to B••• S••••••••• L••left Jan 2, 2018, registered Jan 2, 2018 (0 days) · corporate re-registration, not a move
- B••• A•••• M••••••••• I••• to B••• I••••••••• S•••••••• I•••left Feb 14, 2006, registered Feb 14, 2006 (0 days) · Other
Signals
- S•••• E•••••• R•••••• left T••••• A••••••• S•••••••• I••• for J••• M••••• S••••••••• L•• (registered 2024-10-29)Oct 10, 2023 · 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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address