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Feed of 09/14/2026
Also filed as B••••••• C•••••
At current firm
2 y
since Sep 13, 2024
In the industry
11 y
since Aug 1, 2015 (earliest exam, job or registration)
Prior registered firms
3
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
2
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Sep 13, 2024 · Chicago, Il
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJul 12, 2023 to Aug 17, 2023 · Chicago, Il
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJul 21, 2020 to Dec 22, 2022 · Naperville, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 13, 2017 to Jul 16, 2020 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- N••••••••• M••••• I••••••••• S••••••••• to M••••• S••••••left Aug 17, 2023, registered Sep 13, 2024 (393 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to N••••••••• M••••• I••••••••• S•••••••••left Dec 22, 2022, registered Jul 12, 2023 (202 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 16, 2020, registered Jul 21, 2020 (5 days) · Wirehouse to affiliated broker-dealer or bank
Signals
- B••••••• A• C••••• left N••••••••• M••••• I••••••••• S••••••••• for M••••• S•••••• (registered 2024-09-13)Aug 17, 2023 · Advisor changed firm · fact
- B••••••• A• C••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for N••••••••• M••••• I••••••••• S••••••••• (registered 2023-07-12)Dec 22, 2022 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address