RIA Intelligence

• J••••• M••••••••• S•••• L•• BD affiliated current
  since Mar 27, 2019 · Westbrook, Ct
• W•••• F•••• A••••••• wirehouse
  Dec 2, 2009 to Mar 28, 2019 · Glastonbury, Ct
• A••••••••• F•••••••• S•••••••• L•• national BD
  Jan 3, 2007 to Apr 11, 2007 · East Hartford, Ct
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Apr 21, 2006 to Jul 25, 2006 · Hartford, Ct
• A•••••• I••• unclassified
  Jan 6, 1999 to Mar 8, 2006 · Hartford, Ct

• W•••• F•••• A••••••• to J••••• M••••••••• S•••• L••
  left Mar 28, 2019, registered Mar 27, 2019 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• A••••••••• F•••••••• S•••••••• L•• to W•••• F•••• A•••••••
  left Apr 11, 2007, registered Dec 2, 2009 (966 days) · Affiliated broker-dealer or bank to wirehouse
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••
  left Jul 25, 2006, registered Jan 3, 2007 (162 days) · Wirehouse to affiliated broker-dealer or bank
• A•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Mar 8, 2006, registered Apr 21, 2006 (44 days) · corporate re-registration, not a move

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

31derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address