A••• S••• F••••••••

S•••••• N••••••• • C••••••• I•••••••••national BDNew York, Ny dual registrantIAPD 1293630

Feed of 09/14/2026

At current firm

3 y

since Mar 16, 2023

In the industry

41 y

since Oct 2, 1984 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••• N••••••• • C••••••• I••••••••• national BD current
since Mar 16, 2023 · New York, Ny
R•••••• J•••• • A••••••••• I••• national BD
Jun 14, 2021 to Mar 7, 2023 · New York, Ny
R•• C•••••• M••••••• L•• national BD
Nov 22, 2005 to Jun 25, 2009 · Summit, Nj

Moves

a registration end followed by a registration begin elsewhere

R•••••• J•••• • A••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
left Mar 7, 2023, registered Mar 16, 2023 (9 days) · Affiliated broker-dealer or bank to another
R•• C•••••• M••••••• L•• to R•••••• J•••• • A••••••••• I•••
left Jun 25, 2009, registered Jun 14, 2021 (4372 days) · Affiliated broker-dealer or bank to another

Signals

••• Locked
Mar 7, 2023 · 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: National broker-dealer RIAderived
Years in industry: 41derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address