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Registered advisor
M•••••• L••••• A••
Feed of 09/15/2026
Also filed as M•••••• L••••• Underwood
At current firm
5 y
since May 13, 2021
In the industry
19 y
since Aug 17, 2007 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
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
- U•• F•••••••• S••••••• I••• wirehouse currentsince May 13, 2021 · Oak Bluffs, Ma
- W•••• F•••• A••••••• wirehouseJun 2, 2020 to May 11, 2021 · Norwell, Ma
- R•• C•••••• M••••••• L•• national BDJan 5, 2015 to Jun 9, 2020 · Norwell, Ma
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left May 11, 2021, registered May 13, 2021 (2 days) · Wirehouse to wirehouse
- R•• C•••••• M••••••• L•• to W•••• F•••• A•••••••left Jun 9, 2020, registered Jun 2, 2020 (-7 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address