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Feed of 09/15/2026
Also filed as J••• Stephen H•••
At current firm
3 y
since Jun 15, 2023
In the industry
28 y
since Aug 31, 1998 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
3
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jun 15, 2023 · Port Washington, Ny
- W•••• F•••• A••••••• wirehouseNov 11, 2022 to Jun 20, 2023 · Melville, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDOct 28, 2022 to Nov 11, 2022 · Great Neck, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Sep 20, 2022 · East Norwich, Ny
- C•••• I••••••••• S••••••• C•••• formerMay 7, 2008 to Oct 1, 2012 · Glen Head, Ny
- E•••••••• A•••••••• L•• national BDAug 24, 2006 to Oct 2, 2006 · Melville, Ny
Moves
a registration end followed by a registration begin elsewhere
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jun 20, 2023, registered Jun 15, 2023 (-5 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••left Nov 11, 2022, registered Nov 11, 2022 (0 days) · Affiliated broker-dealer or bank to wirehouse
- J••• M••••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Sep 20, 2022, registered Oct 28, 2022 (38 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- E•••••••• A•••••••• L•• to C•••• I••••••••• S••••••• C••••left Oct 2, 2006, registered May 7, 2008 (583 days) · Other
Signals
- J••• S• H••• left W•••• F•••• A••••••• for L•• F•••••••• L•• (registered 2023-06-15)Jun 20, 2023 · Advisor changed firm · fact
- J••• S• H••• left A••••••••• F•••••••• S•••••••• L•• for W•••• F•••• A••••••• (registered 2022-11-11)Nov 11, 2022 · Advisor changed firm · fact
- J••• S• H••• left J••• M••••• S••••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-10-28)Sep 20, 2022 · Advisor changed firm · fact
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address