L•••• M••••••• P•••••

• S•••••• N••••••• • C••••••• I••••••••• national BD current
  since Dec 9, 2008 · New York, Ny
• M••••••••• P••••• V•••• S••••••••• I••• unclassified
  Oct 28, 2004 to Dec 31, 2008 · New York, Ny
• W•••• F•••• A••••••• wirehouse
  Jul 1, 2003 to Aug 23, 2004 · New York, Ny
• P••••••••• E••••• G••••• L•• unclassified
  Oct 4, 2001 to Jul 1, 2003 · New York, Ny

• M••••••••• P••••• V•••• S••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
  left Dec 31, 2008, registered Dec 9, 2008 (-22 days) · Other
• W•••• F•••• A••••••• to M••••••••• P••••• V•••• S••••••••• I•••
  left Aug 23, 2004, registered Oct 28, 2004 (66 days) · Other
• 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

National broker-dealer RIAderived

Years in industry

39derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address