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Registered advisor
S••••• E••• P••••••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as Sandy P••••••••
At current firm
9 y
since Apr 24, 2017
In the industry
37 y
since Apr 17, 1989 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Apr 24, 2017 · Howard Beach, Ny
- H••• S••••••••• •••• I••• BD affiliatedApr 24, 2012 to Jun 6, 2017 · Bay Shore, Ny
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedDec 13, 2006 to Jan 25, 2011 · Melville, Ny
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 5, 2006 to Dec 18, 2006 · West Hempstead, Ny
- C•••• I••••••••• S••••••• C•••• formerMar 11, 2004 to Nov 7, 2006 · Bayshore, Ny
Moves
a registration end followed by a registration begin elsewhere
- H••• S••••••••• •••• I••• to L•• F•••••••• L••left Jun 6, 2017, registered Apr 24, 2017 (-43 days) · Other
- C•••••• O•• F•••••••• A••••••• L•• to H••• S••••••••• •••• I•••left Jan 25, 2011, registered Apr 24, 2012 (455 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C•••••• O•• F•••••••• A••••••• L••left Dec 18, 2006, registered Dec 13, 2006 (-5 days) · Other
- C•••• I••••••••• S••••••• C•••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Nov 7, 2006, registered Dec 5, 2006 (28 days) · Other
Signals
No dated event on this person.
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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address