R••••• F•••••• P••••••

• S•••••••• S••••••••• BD affiliated current
  since Mar 19, 2021 · Staten Island, Ny
• L•• F•••••••• L•• BD affiliated
  Nov 10, 2011 to Sep 19, 2012 · Staten Island, Ny
• C•••• I••••••••• S••••••• C•••• former
  Apr 8, 2010 to Sep 29, 2011 · Staten Island, Ny
• H••• S••••••••• •••• I••• BD affiliated
  Aug 21, 2007 to Mar 19, 2010 · Staten Island, Ny

• L•• F•••••••• L•• to S•••••••• S•••••••••
  left Sep 19, 2012, registered Mar 19, 2021 (3103 days) · corporate re-registration, not a move
• C•••• I••••••••• S••••••• C•••• to L•• F•••••••• L••
  left Sep 29, 2011, registered Nov 10, 2011 (42 days) · Other
• H••• S••••••••• •••• I••• to C•••• I••••••••• S••••••• C••••
  left Mar 19, 2010, registered Apr 8, 2010 (20 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

30derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address