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Registered advisor
M•••••• L••••• S•••••
Certified Financial Planner · Chartered Financial Consultant
Feed of 09/14/2026
At current firm
7 y
since Apr 22, 2019
In the industry
12 y
since Mar 17, 2014 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, 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
- E••••• J•••• national BD currentsince Apr 22, 2019 · Arcata, Ca
- J••• M••••• P•••••• W••••• A••••••• L•• formerApr 20, 2016 to Nov 11, 2016 · Menlo Park, Ca
- M••••• G••••• A••••••• I••• independent RIAMar 17, 2014 to Apr 4, 2016 · Santa Barbara, Ca
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• P•••••• W••••• A••••••• L•• to E••••• J••••left Nov 11, 2016, registered Apr 22, 2019 (892 days) · Other
- M••••• G••••• A••••••• I••• to J••• M••••• P•••••• W••••• A••••••• L••left Apr 4, 2016, registered Apr 20, 2016 (16 days) · Other
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