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Registered advisor
Y••••••• M••••• D••••••
Feed of 09/14/2026
Also filed as Y••••••• M• D••••••••• D••••••
At current firm
10 y
since Jun 23, 2016
In the industry
11 y
since Mar 18, 2015 (earliest exam, job or registration)
Prior registered firms
1
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
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Jun 23, 2016 · Wayzata, Mn
- A••••••••• F•••••••• S•••••••• L•• national BDMar 19, 2015 to Jun 1, 2016 · Minneapolis, Mn
Moves
a registration end followed by a registration begin elsewhere
- A••••••••• F•••••••• S•••••••• L•• to C•••••• S••••• • C••• I•••left Jun 1, 2016, registered Jun 23, 2016 (22 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address