H•• D• L••

• L•• F•••••••• L•• BD affiliated current
  since Jun 1, 2021 · New Hyde P•••, Ny
• C•••••••• G••••• M•••••• I••• BD affiliated
  Dec 11, 2017 to Jun 15, 2021 · Greenwich, Ct
• L•• F•••••••• L•• BD affiliated
  Sep 5, 2013 to Dec 20, 2017 · Hastings On Hudson, Ny
• P••• A••••• S••••••••• L•• BD affiliated
  Dec 9, 2011 to Mar 19, 2013 · Garden City, Ny
• E•••••••• A•••••••• L•• national BD
  May 6, 2008 to Nov 17, 2011 · Melville, Ny

• C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••
  left Jun 15, 2021, registered Jun 1, 2021 (-14 days) · Affiliated broker-dealer or bank to another
• L•• F•••••••• L•• to C•••••••• G••••• M•••••• I•••
  left Dec 20, 2017, registered Dec 11, 2017 (-9 days) · Other
• P••• A••••• S••••••••• L•• to L•• F•••••••• L••
  left Mar 19, 2013, registered Sep 5, 2013 (170 days) · Other
• E•••••••• A•••••••• L•• to P••• A••••• S••••••••• L••
  left Nov 17, 2011, registered Dec 9, 2011 (22 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

32derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address