J••••••• M• S••••••••

M••••• S••••••wirehouseCharlotte, Ncdual registrantIAPD 5544159

Feed of 09/19/2026

Also filed as J••••••• L••••••••• S••••••••• B••••••••• G••••••

At current firm

4 y

since Dec 13, 2021

In the industry

14 y

since Mar 23, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

M••••• S•••••• wirehouse current
since Dec 13, 2021 · Charlotte, Nc
R•••••• J•••• • A••••••••• I••• national BD
May 19, 2020 to Nov 12, 2021 · Duluth, Mn
M••••• S•••••• wirehouse
Apr 16, 2012 to Aug 6, 2019 · Duluth, Mn

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• • A••••••••• I••• to M••••• S••••••
left Nov 12, 2021, registered Dec 13, 2021 (31 days) · Affiliated broker-dealer or bank to wirehouse
M••••• S•••••• to R•••••• J•••• • A••••••••• I•••
left Aug 6, 2019, registered May 19, 2020 (287 days) · Wirehouse to affiliated broker-dealer or bank

Signals

••• Locked
Sep 18, 2026 · New state registration · 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: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address