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Registered advisor
M•••••• S•••••••
Feed of 09/15/2026
Also filed as M•••••• T••••• S••••••••• T••••• S•••••••
At current firm
5 y
since Oct 19, 2020
In the industry
17 y
since Oct 10, 2008 (earliest exam, job or registration)
Prior registered firms
4
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
- W•••• F•••• A••••••• wirehouse currentsince Oct 19, 2020 · Roseville, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 11, 2013 to Oct 21, 2020 · Roseville, Ca
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJan 17, 2012 to Oct 19, 2012 · San Francisco, Ca
- J••• M••••• S••••••••• L•• wirehouseOct 13, 2009 to Apr 20, 2011 · San Francisco, Ca
- U•• F•••••••• S••••••• I••• wirehouseOct 13, 2008 to May 13, 2009 · Sacramento, Ca
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Oct 21, 2020, registered Oct 19, 2020 (-2 days) · Wirehouse to wirehouse · moved with a team
- N••••••••• M••••• I••••••••• S••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 19, 2012, registered Mar 11, 2013 (143 days) · Other
- J••• M••••• S••••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Apr 20, 2011, registered Jan 17, 2012 (272 days) · Other
- U•• F•••••••• S••••••• I••• to J••• M••••• S••••••••• L••left May 13, 2009, registered Oct 13, 2009 (153 days) · Wirehouse to wirehouse
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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address