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Registered advisor
S•••• L••• H•••
Feed of 09/14/2026
Also filed as S•••• L Harris
At current firm
4 y
since Jun 13, 2022
In the industry
24 y
since Jul 30, 2002 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A•••••••• L•• BD affiliated currentsince Jun 13, 2022 · Short Hills, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 10, 2013 to Jun 14, 2022 · Summit, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 5, 2013 · Short Hills, Nj
- M••••• S•••••• • C•• L•• unclassifiedMay 18, 2007 to Jun 1, 2009 · Short Hills, Nj
- U•• F•••••••• S••••••• I••• wirehouseJul 30, 2002 to May 25, 2007 · Westfield, Nj
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• A•••••••• L••left Jun 14, 2022, registered Jun 13, 2022 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 5, 2013, registered Jan 10, 2013 (-26 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to M••••• S•••••• • C•• L••left May 25, 2007, registered May 18, 2007 (-7 days) · Other
Signals
- S•••• L••• H••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for S•••••••• A•••••••• L•• (registered 2022-06-13)Jun 14, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address