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Feed of 09/14/2026
Also filed as C••• Michael D••••
At current firm
1 y
since Mar 31, 2025
In the industry
19 y
since Jan 19, 2007 (earliest exam, job or registration)
Prior registered firms
7
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
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Palmyra, Va
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 28, 2022 to Mar 31, 2025 · Palmyra, Va
- L•• F•••••••• L•• BD affiliatedJan 5, 2021 to Nov 3, 2021 · San Diego, Ca
- T• A••••••••• I••• formerApr 13, 2018 to Jan 11, 2021 · Charlottesville, Va
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Dec 31, 2020 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerJun 9, 2016 to Feb 26, 2018 · Saint Louis, Mo
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Aug 16, 2007 · Winston-Salem, Nc
- M••••• S•••••• D• I••• unclassifiedJan 19, 2007 to Apr 2, 2007 · Winston-Salem, Nc
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Nov 3, 2021, registered Jan 28, 2022 (86 days) · Affiliated broker-dealer or bank to another
- T• A••••••••• I••• to L•• F•••••••• L••left Jan 11, 2021, registered Jan 5, 2021 (-6 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered Apr 13, 2018 (-993 days) · corporate re-registration, not a move
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- M••••• S•••••• • C•• L•• to S•••••••• I••••••••• M•••••••••left Aug 16, 2007, registered Jun 9, 2016 (3220 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address