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Registered advisor
C••••••••• M•••••
Feed of 09/14/2026
Also filed as C••••••••• A M•••••
At current firm
7 y
since Oct 24, 2018
In the industry
19 y
since Nov 13, 2006 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
21
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
- H•••••• S••••••••• I••• BD affiliated currentsince Oct 24, 2018 · Monterey, Ca
- M••••••• I••••••••• N•••••• I••• BD affiliatedSep 25, 2017 to Oct 25, 2018 · Dallas, Tx
- E••••• J•••• national BDJun 12, 2013 to Sep 19, 2017 · St Louis, Mo
- M••••••• I••••••••• N•••••• I••• BD affiliatedAug 23, 2010 to Mar 5, 2012 · Dallas, Tx
- H•••••• S••••••••• I••• BD affiliatedDec 17, 2008 to Sep 10, 2010 · Monterey, Ca
Moves
a registration end followed by a registration begin elsewhere
- M••••••• I••••••••• N•••••• I••• to H•••••• S••••••••• I•••left Oct 25, 2018, registered Oct 24, 2018 (-1 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to M••••••• I••••••••• N•••••• I•••left Sep 19, 2017, registered Sep 25, 2017 (6 days) · Other
- M••••••• I••••••••• N•••••• I••• to E••••• J••••left Mar 5, 2012, registered Jun 12, 2013 (464 days) · Other
- H•••••• S••••••••• I••• to M••••••• I••••••••• N•••••• I•••left Sep 10, 2010, registered Aug 23, 2010 (-18 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address