A••• W••••• W••••• M••••••

• M••••• S•••••• wirehouse current
  since Aug 30, 2017 · Westport, Ct
• R•• C•••••• M••••••• L•• national BD
  Oct 29, 2004 to Sep 12, 2017 · Westport, Ct
• W•••• F•••• A••••••• wirehouse
  Jul 1, 2003 to Nov 18, 2004 · Westport, Ct
• P••••••••• E••••• G••••• L•• unclassified
  Oct 21, 1999 to Jul 1, 2003 · Westport, Ct

• R•• C•••••• M••••••• L•• to M••••• S••••••
  left Sep 12, 2017, registered Aug 30, 2017 (-13 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
• W•••• F•••• A••••••• to R•• C•••••• M••••••• L••
  left Nov 18, 2004, registered Oct 29, 2004 (-20 days) · Wirehouse to affiliated broker-dealer or bank
• P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
  left Jul 1, 2003, registered Jul 1, 2003 (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

Wirehousederived

Years in industry

39derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address