R•••••• R••••

S•••••••• A•••••••• L••BD affiliatedParamus, Nj dual registrantIAPD 2308785

Feed of 09/15/2026

At current firm

4 y

since May 24, 2022

In the industry

33 y

since Feb 19, 1993 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A•••••••• L•• BD affiliated current
since May 24, 2022 · Paramus, Nj
U•• F•••••••• S••••••• I••• wirehouse
Apr 20, 2012 to May 10, 2022 · New York, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Mar 30, 1993 to Apr 23, 2012 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

U•• F•••••••• S••••••• I••• to S•••••••• A•••••••• L••
left May 10, 2022, registered May 24, 2022 (14 days) · Wirehouse to affiliated broker-dealer or bank
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••
left Apr 23, 2012, registered Apr 20, 2012 (-3 days) · Wirehouse to wirehouse

Signals

••• Locked
May 10, 2022 · Advisor changed firm · fact

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: 33derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address