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Registered advisor
C••••••••• M•••••• B••••••
Feed of 09/14/2026
Also filed as C••••••••• B••••••
At current firm
0 y
since Sep 26, 2025
In the industry
16 y
since Aug 17, 2010 (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
S66
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince Sep 26, 2025 · Yorkville, Ny
- L•• F•••••••• L•• BD affiliatedJul 20, 2023 to Oct 3, 2025 · New Hartford, Ny
- K•• I••••••••• S••••••• L•• BD affiliatedMar 26, 2021 to Jul 17, 2023 · Brooklyn, Oh
- E••••• J•••• national BDAug 30, 2010 to Mar 31, 2011 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to E••••• J••••left Oct 3, 2025, registered Sep 26, 2025 (-7 days) · Affiliated broker-dealer or bank to another
- K•• I••••••••• S••••••• L•• to L•• F•••••••• L••left Jul 17, 2023, registered Jul 20, 2023 (3 days) · Affiliated broker-dealer or bank to another
- E••••• J•••• to K•• I••••••••• S••••••• L••left Mar 31, 2011, registered Mar 26, 2021 (3648 days) · Affiliated broker-dealer or bank to another
Signals
- C••••••••• M•••••• B•••••• left L•• F•••••••• L•• for E••••• J•••• (registered 2025-09-26)Oct 3, 2025 · Advisor changed firm · fact
- C••••••••• M•••••• B•••••• left K•• I••••••••• S••••••• L•• for L•• F•••••••• L•• (registered 2023-07-20)Jul 17, 2023 · Advisor changed firm · 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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address