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Registered advisor
D•••••• R••••••• M•••••
Feed of 09/14/2026
Also filed as D•••••• M•••••
At current firm
3 y
since May 16, 2023
In the industry
17 y
since Feb 7, 2009 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- O••••••• F•••••••• state registered currentsince May 16, 2023 · Missouri City, Tx
- M•• I•••••••• S•••••••• L•• BD affiliatedFeb 24, 2015 to Oct 6, 2021 · Houston, Tx
- E••••• J•••• national BDApr 30, 2009 to Nov 30, 2009 · St Louis, Mo
- W•••••• • R••• formerFeb 10, 2009 to Apr 22, 2009 · Edmond, Ok
Moves
a registration end followed by a registration begin elsewhere
- M•• I•••••••• S•••••••• L•• to O••••••• F••••••••left Oct 6, 2021, registered May 16, 2023 (587 days) · Affiliated broker-dealer or bank to a state-registered adviser
- E••••• J•••• to M•• I•••••••• S•••••••• L••left Nov 30, 2009, registered Feb 24, 2015 (1912 days) · Other
- W•••••• • R••• to E••••• J••••left Apr 22, 2009, registered Apr 30, 2009 (8 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
- STATE REGISTEREDderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address