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Registered advisor
M••• R•••••• L••••••
Feed of 09/15/2026
At current firm
5 y
since Nov 12, 2020
In the industry
42 y
since Oct 21, 1983 (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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Nov 12, 2020 · Walnut Creek, Ca
- F•••• A••••• A••••••• S•••••••• I••• formerJul 2, 2012 to Nov 12, 2020 · Chesterfield, Mo
- F•••• A••••• S••••••••• I••• formerApr 18, 2008 to Jul 2, 2012 · Benicia, Ca
- U•• F•••••••• S••••••• I••• wirehouseAug 26, 2005 to Apr 28, 2008 · Benecia, Ca
- M••••• S•••••• D• I••• unclassifiedJul 8, 1997 to Aug 31, 2005 · Concord, Ca
Moves
a registration end followed by a registration begin elsewhere
- F•••• A••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 2, 2012, registered Jul 2, 2012 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to F•••• A••••• S••••••••• I•••left Apr 28, 2008, registered Apr 18, 2008 (-10 days) · Other
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Aug 31, 2005, registered Aug 26, 2005 (-5 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address