Q••••• D• F••••••

E•••• S••••••••• L••BD affiliatedNew York, Nydual registrantIAPD 2026029

Feed of 09/14/2026

Also filed as Q••••• D••••••••• D••••••••

At current firm

9 y

since Mar 13, 2017

In the industry

32 y

since Sep 27, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65, S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••• S••••••••• L•• BD affiliated current
since Mar 13, 2017 · New York, Ny
E•••••••• A•••••••• L•• national BD
Nov 17, 2015 to Nov 21, 2016 · Brooklyn, Ny
C•••• I••••••••• S••••••• C•••• former
Apr 13, 2005 to May 9, 2007 · Brooklyn, Ny

Moves

a registration end followed by a registration begin elsewhere

E•••••••• A•••••••• L•• to E•••• S••••••••• L••
left Nov 21, 2016, registered Mar 13, 2017 (112 days) · Other
C•••• I••••••••• S••••••• C•••• to E•••••••• A•••••••• L••
left May 9, 2007, registered Nov 17, 2015 (3114 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: 32derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address