M••••••• M••• K•••••••

• C••••••• S••••••••• I••• BD affiliated current
  since Apr 8, 2021 · Woburn, Ma
• K•• I••••••••• S••••••• L•• BD affiliated
  Sep 21, 2016 to May 20, 2019 · Brooklyn, Oh
• L•• F•••••••• L•• BD affiliated
  May 18, 2012 to Sep 21, 2016 · Albany, Ny
• H••• S••••••••• •••• I••• BD affiliated
  May 16, 2011 to May 15, 2012 · Albany, Ny
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Oct 23, 2009 to Dec 6, 2010 · Latham, Ny
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Oct 13, 2005 to Oct 23, 2009 · Latham, Ny

• K•• I••••••••• S••••••• L•• to C••••••• S••••••••• I•••
  left May 20, 2019, registered Apr 8, 2021 (689 days) · Affiliated broker-dealer or bank to another
• L•• F•••••••• L•• to K•• I••••••••• S••••••• L••
  left Sep 21, 2016, registered Sep 21, 2016 (0 days) · Other · moved with a team
• H••• S••••••••• •••• I••• to L•• F•••••••• L••
  left May 15, 2012, registered May 18, 2012 (3 days) · corporate re-registration, not a move
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H••• S••••••••• •••• I•••
  left Dec 6, 2010, registered May 16, 2011 (161 days) · Other
• B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Oct 23, 2009, registered Oct 23, 2009 (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

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address