T••••• W• M••••

• O•••• I••••••••• I••• BD affiliated current
  since Mar 18, 2019 · Oakville, Ct
• L•• F•••••••• L•• BD affiliated
  Oct 11, 2011 to Mar 15, 2019 · Waterbury, Ct
• U•••• F•••••••• S••••••• G••••• I••• unclassified
  Feb 13, 2007 to Oct 11, 2011 · Watertown, Ct
• W•••••• I••••••••• S•••••••• I••• unclassified
  Nov 2, 2000 to Feb 13, 2007 · Kensington, Ct

• L•• F•••••••• L•• to O•••• I••••••••• I•••
  left Mar 15, 2019, registered Mar 18, 2019 (3 days) · RIA to affiliated broker-dealer or bank · moved with a team
• U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••
  left Oct 11, 2011, registered Oct 11, 2011 (0 days) · corporate re-registration, not a move
• W•••••• I••••••••• S•••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••
  left Feb 13, 2007, registered Feb 13, 2007 (0 days) · Other

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

38derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address