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Registered advisor
C••••••••• M•••••• Y••••
Feed of 09/15/2026
Also filed as C••••••••• M•••••• Y••••
At current firm
3 y
since Jan 23, 2023
In the industry
10 y
since Sep 1, 2016 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Jan 23, 2023 · Chesterfield, Mo
- S•••••• N••••••• • C••••••• I••••••••• national BDOct 4, 2019 to Jan 24, 2023 · St. Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 12, 2018 to Oct 7, 2019 · Frontenac, Mo
- E••••• J•••• national BDDec 21, 2016 to Aug 4, 2017 · St Louis, Mo
Moves
a registration end followed by a registration begin elsewhere
- S•••••• N••••••• • C••••••• I••••••••• to M••••• S••••••left Jan 24, 2023, registered Jan 23, 2023 (-1 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Oct 7, 2019, registered Oct 4, 2019 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 4, 2017, registered Feb 12, 2018 (192 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
Signals
- C••••••••• M•••••• Y•••• left S•••••• N••••••• • C••••••• I••••••••• for M••••• S•••••• (registered 2023-01-23)Jan 24, 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
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address