P••• B• S•••••

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since Oct 19, 2020 · New Haven, Ct
• C••••• A•••••• N••••••• L•• former
  Nov 11, 2013 to Oct 8, 2020 · New Haven, Ct
• H•••••• C•••••• A•••••••• L•• unclassified
  Feb 1, 2006 to Nov 8, 2013 · Rocky Hill, Ct
• M•• F•••••••• S•••••••• I••• former
  Jul 23, 1997 to Jan 26, 2006 · Rocky Hill, Ct

• C••••• A•••••• N••••••• L•• to A••••••••• F•••••••• S•••••••• L••
  left Oct 8, 2020, registered Oct 19, 2020 (11 days) · Affiliated broker-dealer or bank to another
• H•••••• C•••••• A•••••••• L•• to C••••• A•••••• N••••••• L••
  left Nov 8, 2013, registered Nov 11, 2013 (3 days) · Other
• M•• F•••••••• S•••••••• I••• to H•••••• C•••••• A•••••••• L••
  left Jan 26, 2006, registered Feb 1, 2006 (6 days) · Other

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.

Source

IAPD individual compilation feedreportedadviserinfo.sec.gov

Firm class

National broker-dealer RIAderived

Years in industry

35derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address