D•••• R••••• W•••••••

• N•••••• A••••••• BD affiliated current
  since Oct 7, 2021 · New Orleans, La
• A••••• A•• P••••••• S••••••• BD affiliated
  Apr 10, 2013 to Sep 8, 2021 · Hamden, Ct
• W••••••• F•••••••• S•••••••• I••• former
  Nov 28, 2007 to Jun 15, 2010 · Trubull, Ct

• A••••• A•• P••••••• S••••••• to N•••••• A•••••••
  left Sep 8, 2021, registered Oct 7, 2021 (29 days) · Affiliated broker-dealer or bank to another · moved with a team
• W••••••• F•••••••• S•••••••• I••• to A••••• A•• P••••••• S•••••••
  left Jun 15, 2010, registered Apr 10, 2013 (1030 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

33derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address