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C••••••••• C••••••
Registered advisorat A••••••••• F•••••••• S•••••••• L••Dual registrant· North Haven, Ct IAPD 2334236
As of · the IAPD feed; also filed as C••••••••• C•••••• I••
- At current firm
- 17 y
- In the industry
- 33 y
- Prior registered firms
- 2
- Signals
- 0
since May 1, 2009
As of · the IAPD feed; also filed as C••••••••• C•••••• I••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Registration history
IAPD current and previous registrations
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince May 1, 2009 · North Haven, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 23, 2005 to May 5, 2009 · New Haven, Ct
- A• G• E•••••• • S•••• I••• unclassifiedJul 14, 1998 to Jun 27, 2005 · Hamden, Ct
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left May 5, 2009, registered May 1, 2009 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- A• G• E•••••• • S•••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 27, 2005, registered Jun 23, 2005 (-4 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address