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Registered advisor
S••••• E•••••• Y••••
Feed of 09/14/2026
Also filed as S••••• E•••••• Y••••
At current firm
7 y
since Feb 28, 2019
In the industry
26 y
since Mar 3, 2000 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- R•••••• J•••• • A••••••••• I••• national BD currentsince Feb 28, 2019 · Bedminster, Nj
- J••• M••••• S••••••••• L•• wirehouseSep 7, 2018 to Dec 18, 2018 · Bedminster, Nj
- S•••••••• I••••••••• M••••••••• formerJan 27, 2017 to Mar 8, 2018 · Saint Louis, Mo
- C••• F•••••••• S•••••••• L••• formerAug 8, 2002 to May 2, 2008 · Bridgewater, Nj
- C•••••• S••••• • C••• I••• national BDJun 20, 2002 to Aug 21, 2002 · Bridgewater, Nj
Moves
a registration end followed by a registration begin elsewhere
- J••• M••••• S••••••••• L•• to R•••••• J•••• • A••••••••• I•••left Dec 18, 2018, registered Feb 28, 2019 (72 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••••• I••••••••• M••••••••• to J••• M••••• S••••••••• L••left Mar 8, 2018, registered Sep 7, 2018 (183 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- C••• F•••••••• S•••••••• L••• to S•••••••• I••••••••• M•••••••••left May 2, 2008, registered Jan 27, 2017 (3192 days) · Other
- C•••••• S••••• • C••• I••• to C••• F•••••••• S•••••••• L•••left Aug 21, 2002, registered Aug 8, 2002 (-13 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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address