RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since May 30, 2023 · Getzville, Ny
• S•• BD affiliated
  Jul 16, 2021 to May 30, 2023 · Getzville, Ny
• P•••• S••••••••• L•• no RAUM
  Jun 7, 2021 to Jul 22, 2021 · Williamsville, Ny
• H••••• • S••••• A••••••• S••••••• L•• other
  Feb 11, 2014 to Oct 29, 2014 · Cheektowaga, Ny
• C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
  Sep 19, 2012 to Jan 27, 2014 · Orchard Park, Ny
• T•••• L••••• U•• L•• unclassified
  Nov 30, 2010 to Dec 31, 2011 · Winter Haven, Fl

• S•• to L•• F•••••••• L••
  left May 30, 2023, registered May 30, 2023 (0 days) · corporate re-registration, not a move
• P•••• S••••••••• L•• to S••
  left Jul 22, 2021, registered Jul 16, 2021 (-6 days) · Affiliated broker-dealer or bank to another
• H••••• • S••••• A••••••• S••••••• L•• to P•••• S••••••••• L••
  left Oct 29, 2014, registered Jun 7, 2021 (2413 days) · Other
• C•••••••• I••••••••• R••••••• A•••••••• I••• to H••••• • S••••• A••••••• S••••••• L••
  left Jan 27, 2014, registered Feb 11, 2014 (15 days) · Other
• T•••• L••••• U•• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••
  left Dec 31, 2011, registered Sep 19, 2012 (263 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

34derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address