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Registered advisor
P•••••• G••••• G••••••••
C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedNorth Yarmouth, Medual registrantIAPD 706356
Feed of 09/14/2026
At current firm
3 y
since Dec 8, 2022
In the industry
46 y
since Feb 28, 1980 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
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•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Dec 8, 2022 · North Yarmouth, Me
- C••••••• • C••• I••• formerJan 11, 2010 to Jun 7, 2023 · Portland, Me
- M••••• S•••••• wirehouseJun 1, 2009 to Jan 20, 2010 · Portland, Me
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 26, 2004 to Jun 1, 2009 · Portland, Me
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 26, 2004 to Jul 30, 2004 · Portland, Me
Moves
a registration end followed by a registration begin elsewhere
- C••••••• • C••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jun 7, 2023, registered Dec 8, 2022 (-181 days) · corporate re-registration, not a move
- M••••• S•••••• to C••••••• • C••• I•••left Jan 20, 2010, registered Jan 11, 2010 (-9 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Jul 30, 2004, registered Jul 26, 2004 (-4 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address