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Registered advisor
D••••• M•••••• S•••••••
Feed of 09/14/2026
Also filed as Mike S•••••••
At current firm
8 y
since Oct 6, 2017
In the industry
27 y
since Feb 23, 1999 (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
S65, 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
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Oct 6, 2017 · Naples, Fl
- R•••••• J•••• • A••••••••• I••• national BDFeb 13, 2013 to Sep 25, 2017 · Naples, Fl
- M••••• K••••• • C••••••• L•• formerApr 10, 2006 to Feb 13, 2013 · Naples, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Apr 20, 2006 · New York, Ny
- L••• M•••• W••• W•••••• I••••••••• unclassifiedAug 2, 1999 to Feb 21, 2006 · Naples, Fl
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 25, 2017, registered Oct 6, 2017 (11 days) · Other · moved with a team
- M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
- C•••••••• G••••• M•••••• I••• to M••••• K••••• • C••••••• L••left Apr 20, 2006, registered Apr 10, 2006 (-10 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address