L•••••• S•••• F•••••••

• N•••••• A••••••• BD affiliated current
  since Sep 23, 2021 · New Orleans, La
• W•••• F•••• A••••••• wirehouse
  Jun 5, 2015 to Oct 1, 2021 · Melville, Ny
• J••• M••••• S••••••••• L•• wirehouse
  Oct 1, 2012 to Jun 17, 2015 · Greenwich, Ct
• C•••• I••••••••• S••••••• C•••• former
  Jan 22, 2001 to Oct 1, 2012 · Riverside, Ct

• W•••• F•••• A••••••• to N•••••• A•••••••
  left Oct 1, 2021, registered Sep 23, 2021 (-8 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••
  left Jun 17, 2015, registered Jun 5, 2015 (-12 days) · Wirehouse to wirehouse
• C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
  left Oct 1, 2012, registered Oct 1, 2012 (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

36derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address