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Registered advisor
L••• R••••
Feed of 09/14/2026
Also filed as L••• Ellen R••••
At current firm
3 y
since Apr 7, 2023
In the industry
35 y
since Mar 7, 1991 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
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
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Apr 7, 2023 · Boynton Beach, Fl
- V••• F•••••••• A•••••••• I••• BD affiliatedFeb 22, 2017 to Jun 9, 2021 · Cherry Hill, Nj
- O•••• W•••••• I••• BD affiliatedMay 6, 2011 to Dec 22, 2016 · Nesconset, Ny
- O••••••••• • C•• I••• BD affiliatedNov 7, 2006 to May 10, 2011 · Melville, Ny
Moves
a registration end followed by a registration begin elsewhere
- V••• F•••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Jun 9, 2021, registered Apr 7, 2023 (667 days) · corporate re-registration, not a move
- O•••• W•••••• I••• to V••• F•••••••• A•••••••• I•••left Dec 22, 2016, registered Feb 22, 2017 (62 days) · Other
- O••••••••• • C•• I••• to O•••• W•••••• I•••left May 10, 2011, registered May 6, 2011 (-4 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address