W•••••• T••••••• B••••

• L•• F•••••••• L•• BD affiliated current
  since Feb 13, 2023 · South Windsor, Ct
• S••••••••• A•••••• A•••••••• I••• former
  Oct 31, 2017 to Feb 9, 2023 · Keene, Nh
• N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
  Apr 3, 2006 to Nov 7, 2017 · Ludlow, Vt
• O•••• F•• I••• former
  Mar 10, 2003 to Apr 3, 2006 · Farmington, Ct
• P•••••• A••••••• S••••••• I•• unclassified
  Jan 6, 2000 to Mar 31, 2003 · Farmington, Ct

• S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••
  left Feb 9, 2023, registered Feb 13, 2023 (4 days) · corporate re-registration, not a move
• N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S••••••••• A•••••• A•••••••• I•••
  left Nov 7, 2017, registered Oct 31, 2017 (-7 days) · Other · moved with a team
• O•••• F•• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
  left Apr 3, 2006, registered Apr 3, 2006 (0 days) · Other
• P•••••• A••••••• S••••••• I•• to O•••• F•• I•••
  left Mar 31, 2003, registered Mar 10, 2003 (-21 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

33derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address