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Feed of 09/14/2026
Also filed as L•••• D•••••
At current firm
4 y
since Apr 11, 2022
In the industry
19 y
since Jun 2, 2007 (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
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- W•••• F•••• A••••••• wirehouse currentsince Apr 11, 2022 · Boston, Ma
- C••••••• S••••••••• I••• BD affiliatedNov 27, 2019 to Apr 12, 2022 · Boston, Ma
- E•••• S••••••••• L•• BD affiliatedAug 29, 2016 to Sep 18, 2019 · Waltham, Ma
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJun 11, 2012 to Nov 5, 2014 · Woburn, Ma
- M••••• S•••••• • C•• L•• unclassifiedMar 5, 2008 to Apr 16, 2009 · Westport, Ct
Moves
a registration end followed by a registration begin elsewhere
- C••••••• S••••••••• I••• to W•••• F•••• A•••••••left Apr 12, 2022, registered Apr 11, 2022 (-1 days) · Affiliated broker-dealer or bank to wirehouse
- E•••• S••••••••• L•• to C••••••• S••••••••• I•••left Sep 18, 2019, registered Nov 27, 2019 (70 days) · Affiliated broker-dealer or bank to another
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to E•••• S••••••••• L••left Nov 5, 2014, registered Aug 29, 2016 (663 days) · Other
- M••••• S•••••• • C•• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Apr 16, 2009, registered Jun 11, 2012 (1152 days) · Other
Signals
- L•••• S• D••••• left C••••••• S••••••••• I••• for W•••• F•••• A••••••• (registered 2022-04-11)Apr 12, 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address