R••••• E••••• V••••••

• O•••• I••••••••• I••• BD affiliated current
  since Dec 18, 2013 · Hamden, Ct
• O•••• F•• I••• former
  Apr 6, 2010 to Dec 26, 2013 · Glastonbury, Ct
• T• W••••• M••••••••• S••••••• I••• unclassified
  Nov 17, 2009 to Mar 5, 2010 · North Haven, Ct
• C••••• I••••••••• S••••••• L•• former
  May 30, 2007 to Nov 17, 2009 · North Haven, Ct

• O•••• F•• I••• to O•••• I••••••••• I•••
  left Dec 26, 2013, registered Dec 18, 2013 (-8 days) · Other
• T• W••••• M••••••••• S••••••• I••• to O•••• F•• I•••
  left Mar 5, 2010, registered Apr 6, 2010 (32 days) · Other
• C••••• I••••••••• S••••••• L•• to T• W••••• M••••••••• S••••••• I•••
  left Nov 17, 2009, registered Nov 17, 2009 (0 days) · corporate re-registration, not a move

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

19derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address