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Registered advisor
M•••••• S• R•••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as M•••••• S• R•••••
At current firm
3 y
since Oct 20, 2022
In the industry
18 y
since Sep 15, 2008 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince Oct 20, 2022 · Cincinnati, Oh
- F•••• T•••• S••••••••• I••• BD affiliatedAug 6, 2018 to Dec 23, 2020 · Cincinnati, Oh
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedApr 10, 2014 to Feb 13, 2017 · Latham, Ny
- C•••••• S••••• • C••• I••• national BDMar 8, 2011 to Mar 28, 2014 · Albany, Ny
- S•••••••• A••••••• L•• national BDNov 19, 2009 to Feb 9, 2011 · Covington, Ky
Moves
a registration end followed by a registration begin elsewhere
- F•••• T•••• S••••••••• I••• to U•• F•••••••• S••••••• I•••left Dec 23, 2020, registered Oct 20, 2022 (666 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- G•••••• S•••• W••••• S•••••••• L••• to F•••• T•••• S••••••••• I•••left Feb 13, 2017, registered Aug 6, 2018 (539 days) · Other
- C•••••• S••••• • C••• I••• to G•••••• S•••• W••••• S•••••••• L•••left Mar 28, 2014, registered Apr 10, 2014 (13 days) · Other
- S•••••••• A••••••• L•• to C•••••• S••••• • C••• I•••left Feb 9, 2011, registered Mar 8, 2011 (27 days) · Affiliated broker-dealer or bank to another
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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address