B••••• L••• C••••••

• O•••• W•••••• I••• BD affiliated current
  since Nov 2, 2018 · Newport, Ri
• S••••••• I••••••••• I••• former
  May 11, 2009 to Nov 2, 2018 · Newport, Ri
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Oct 20, 2004 to May 11, 2009 · Wickford, Ri
• Q•••• • R•••••• I••• unclassified
  Jun 3, 2004 to Oct 20, 2004 · Newport, Ri

• S••••••• I••••••••• I••• to O•••• W•••••• I•••
  left Nov 2, 2018, registered Nov 2, 2018 (0 days) · corporate re-registration, not a move
• B••• O• A•••••• I••••••••• S•••••••• I••• to S••••••• I••••••••• I•••
  left May 11, 2009, registered May 11, 2009 (0 days) · Other
• Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
  left Oct 20, 2004, registered Oct 20, 2004 (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

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