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Registered advisor
C••• C••••••••• M••••
M•••••• L••••• P•••••• F••••• • S•••• I•••••••••wirehouseLos Angeles, Ca dual registrantIAPD 5908932
Feed of 09/15/2026
At current firm
8 y
since Jul 25, 2018
In the industry
15 y
since Apr 1, 2011 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
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
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 25, 2018 · Los Angeles, Ca
- U••• B•••••• I••••••••• I••• formerJul 23, 2018 to Jul 26, 2018 · Encino, Ca
- E••••• J•••• national BDAug 22, 2011 to Jul 24, 2018 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- U••• B•••••• I••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 26, 2018, registered Jul 25, 2018 (-1 days) · Affiliated broker-dealer or bank to wirehouse
- E••••• J•••• to U••• B•••••• I••••••••• I•••left Jul 24, 2018, registered Jul 23, 2018 (-1 days) · Affiliated broker-dealer or bank to another
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address