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S•••••• M• T••••••
Senior Vice President/Investmentsat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· Washington, Dc IAPD 5314952
Certified Financial Planner
As of · the IAPD feed; also filed as S•••••• M•••••• T••••••
- At current firm
- 8 y
- In the industry
- 19 y
- Prior registered firms
- 2
- Signals
- 0
since Feb 23, 2018
As of · the IAPD feed; also filed as S•••••• M•••••• T••••••
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Professional profileWhat is shown hereOnly business contact points the firm published under its own name are shown; nothing is inferred, and personal accounts are never read. What the bio page says is printed as the firm printed it, with the sentence it came from; years are the firm’s claim, not a count of registrations.
title, designations and roles as the firm prints them
- Title
- Senior Vice President/Investmentsreportedthomsenfinancial.comfirm site, Sep 24, 2026
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Feb 23, 2018 · Washington, Dc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Feb 26, 2018 · Rockville, Md
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMay 30, 2007 to Oct 23, 2009 · Rockville, Md
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Feb 26, 2018, registered Feb 23, 2018 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
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