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RIA Intelligence
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Registered advisor
S•••••• N••••••• S•••••
Certified Financial Planner
Feed of 09/15/2026
At current firm
4 y
since Aug 17, 2022
In the industry
39 y
since Jan 20, 1987 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Aug 17, 2022 · Shelton, Ct
- P••••••• U••••• A•••••••• I••• formerMay 22, 2018 to Aug 17, 2022 · Huntington, Ct
- P••••••• S••••••••• I••• formerSep 28, 2001 to Mar 31, 2020 · Shelton, Ct
Moves
a registration end followed by a registration begin elsewhere
- P••••••• U••••• A•••••••• I••• to L•• F•••••••• L••left Aug 17, 2022, registered Aug 17, 2022 (0 days) · corporate re-registration, not a move
- P••••••• S••••••••• I••• to P••••••• U••••• A•••••••• I•••left Mar 31, 2020, registered May 22, 2018 (-679 days) · corporate re-registration, not a move
Signals
No dated event on this person.
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address