J•••• T••••• B•••

• O•••• W•••••• I••• BD affiliated current
  since Jun 14, 2024 · Danbury, Ct
• S••••••••• A•••••• A•••••••• I••• former
  Sep 18, 2020 to Jun 14, 2024 · Danbury, Ct
• S•• A•••••••• I••• former
  Oct 31, 2008 to Sep 18, 2020 · Danbury, Ct
• E•••••••• A•••••••• L•• national BD
  May 16, 2007 to Nov 6, 2008 · Ridgefield, Ct
• H•••••• T••••••• • K•••• L•• independent RIA
  Mar 8, 2006 to Nov 21, 2006 · Ridgefield, Ct

• S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••
  left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
• S•• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••
  left Sep 18, 2020, registered Sep 18, 2020 (0 days) · corporate re-registration, not a move
• E•••••••• A•••••••• L•• to S•• A•••••••• I•••
  left Nov 6, 2008, registered Oct 31, 2008 (-6 days) · Other
• H•••••• T••••••• • K•••• L•• to E•••••••• A•••••••• L••
  left Nov 21, 2006, registered May 16, 2007 (176 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

36derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address