M•••••• L••••••• W••••

• C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
  since Aug 24, 2009 · Farmington, Ct
• W••••••• F•••••••• S•••••••• I••• former
  May 1, 2007 to Aug 31, 2009 · Farmington, Ct
• N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
  Mar 31, 2006 to Apr 30, 2007 · Farmington, Ct
• O•••• F•• I••• former
  Dec 11, 2000 to Apr 3, 2006 · Farmington, Ct

• W••••••• F•••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
  left Aug 31, 2009, registered Aug 24, 2009 (-7 days) · Other
• N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to W••••••• F•••••••• S•••••••• I•••
  left Apr 30, 2007, registered May 1, 2007 (1 days) · Other
• O•••• F•• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
  left Apr 3, 2006, registered Mar 31, 2006 (-3 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