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S•••• C•••••••• S•••••••••
Registered advisorat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· Shohola, Pa IAPD 1381231
As of · the IAPD feed; also filed as S•••• C•••••••• S••••••••• C•••••••• Z••••
- At current firm
- 11 y
- In the industry
- 32 y
- Prior registered firms
- 2
- Signals
- 0
since Apr 28, 2015
As of · the IAPD feed; also filed as S•••• C•••••••• S••••••••• C•••••••• Z••••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Apr 28, 2015 · Bethlehem Township, Pa
- W•••• F•••• A••••••• wirehouseApr 2, 2008 to May 8, 2015 · Scranton, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 9, 1997 to Apr 4, 2008 · Shohola, Pa
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left May 8, 2015, registered Apr 28, 2015 (-10 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Apr 4, 2008, registered Apr 2, 2008 (-2 days) · Wirehouse to wirehouse
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address