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RIA Intelligence
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Registered advisor
M•••••• E• M••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as M•••••• M••••••
At current firm
7 y
since Feb 27, 2019
In the industry
12 y
since Dec 1, 2013 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C••••••••• F•••••••• N•••••• national BD currentsince Feb 27, 2019 · Milford, Ct
- L•• F•••••••• L•• BD affiliatedAug 11, 2016 to Mar 12, 2019 · Shelton, Ct
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to C••••••••• F•••••••• N••••••left Mar 12, 2019, registered Feb 27, 2019 (-13 days) · RIA to affiliated broker-dealer or bank · moved with a team
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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address