RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Nov 9, 2023 · Madison, Ct
• E••••• J•••• national BD
  Sep 22, 2017 to Nov 9, 2023 · West Haven, Ct
• U•••• F•••••••• S••••••• G••••• I••• unclassified
  Aug 21, 2007 to Nov 7, 2008 · Danbury, Ct
• E•••• N••••••• S••••••••• I••• former
  Mar 9, 2005 to Dec 2, 2005 · Brooklyn, Ny
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Oct 20, 2004 to Feb 18, 2005 · Westport, Ct
• Q•••• • R•••••• I••• unclassified
  May 25, 2004 to Oct 20, 2004 · Stamford, Ct

• E••••• J•••• to L•• F•••••••• L••
  left Nov 9, 2023, registered Nov 9, 2023 (0 days) · Affiliated broker-dealer or bank to another
• U•••• F•••••••• S••••••• G••••• I••• to E••••• J••••
  left Nov 7, 2008, registered Sep 22, 2017 (3241 days) · Other
• E•••• N••••••• S••••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••
  left Dec 2, 2005, registered Aug 21, 2007 (627 days) · Other
• B••• O• A•••••• I••••••••• S•••••••• I••• to E•••• N••••••• S••••••••• I•••
  left Feb 18, 2005, registered Mar 9, 2005 (19 days) · Other
• Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
  left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move

• P••• H• S••••• left E••••• J•••• for L•• F•••••••• L•• (registered 2023-11-09)
  Nov 9, 2023 · Advisor changed firm · fact

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

22derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address