R•••••• O••• H•••••

• R••••••••• C•••••• M••••••••• BD affiliated current
  since Aug 18, 2022 · Stamford, Ct
• R•••••• J•••• • A••••••••• I••• national BD
  Sep 6, 2016 to Aug 31, 2022 · Greenwich, Ct
• D••••••• B••• S••••••••• I••• no RAUM
  Mar 29, 2004 to Sep 6, 2016 · Greenwich, Ct

• R•••••• J•••• • A••••••••• I••• to R••••••••• C•••••• M•••••••••
  left Aug 31, 2022, registered Aug 18, 2022 (-13 days) · Affiliated broker-dealer or bank to another
• D••••••• B••• S••••••••• I••• to R•••••• J•••• • A••••••••• I•••
  left Sep 6, 2016, registered Sep 6, 2016 (0 days) · corporate re-registration, not a move

• ••• Locked
  Aug 31, 2022 · 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

Broker-dealer affiliated wealth managerderived

Years in industry

32derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address