S••• M•••••• W••••

• E••••• J•••• national BD current
  since Nov 17, 2023 · Rockaway Park, Ny
• C•••••••• G••••• M•••••• I••• BD affiliated
  Dec 18, 2012 to Nov 30, 2023 · Long Island City, Ny
• H••• S••••••••• •••• I••• BD affiliated
  May 22, 2008 to Dec 20, 2012 · Jamaica, Ny
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Oct 20, 2004 to May 1, 2008 · Elmont, Ny
• Q•••• • R•••••• I••• unclassified
  Oct 8, 2004 to Oct 20, 2004 · Garden City, Ny

• C•••••••• G••••• M•••••• I••• to E••••• J••••
  left Nov 30, 2023, registered Nov 17, 2023 (-13 days) · Affiliated broker-dealer or bank to another
• H••• S••••••••• •••• I••• to C•••••••• G••••• M•••••• I•••
  left Dec 20, 2012, registered Dec 18, 2012 (-2 days) · Other
• B••• O• A•••••• I••••••••• S•••••••• I••• to H••• S••••••••• •••• I•••
  left May 1, 2008, registered May 22, 2008 (21 days) · Other
• Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
  left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move

• ••• Locked
  Nov 30, 2023 · Advisor changed firm · fact

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

42derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address