R•••• M••• B••••••••

O•••• W•••••• I•••BD affiliatedNew York, Ny dual registrantIAPD 1129845

Feed of 09/15/2026

At current firm

3 y

since Aug 11, 2023

In the industry

41 y

since Jun 12, 1985 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

O•••• W•••••• I••• BD affiliated current
since Aug 11, 2023 · Boca Raton, Fl
C••••• I••••••••• A••••••• L•• BD affiliated
Jun 29, 2023 to Aug 11, 2023 · New York, Ny
C••••• A•••••• N••••••• L•• former
Feb 22, 2019 to Jun 29, 2023 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

C••••• I••••••••• A••••••• L•• to O•••• W•••••• I•••
left Aug 11, 2023, registered Aug 11, 2023 (0 days) · Affiliated broker-dealer or bank to another
C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••
left Jun 29, 2023, registered Jun 29, 2023 (0 days) · corporate re-registration, not a move

Signals

••• Locked
Aug 11, 2023 · a•••••• firm change · 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: Broker-dealer affiliated wealth managerderived
Years in industry: 41derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address