RIA Intelligence

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
  since Jun 14, 2011 · Coram, Ny
• L•• F•••••••• L•• BD affiliated
  May 27, 2008 to Jun 10, 2011 · East Meadow, Ny
• I••• S••••••••• I••• unclassified
  Oct 29, 2007 to May 27, 2008 · Mineola, Ny
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Oct 20, 2004 to Aug 30, 2007 · Port Jefferson, Ny
• Q•••• • R•••••• I••• unclassified
  Dec 16, 2003 to Oct 20, 2004 · Islandia, Ny

• L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Jun 10, 2011, registered Jun 14, 2011 (4 days) · Other
• I••• S••••••••• I••• to L•• F•••••••• L••
  left May 27, 2008, registered May 27, 2008 (0 days) · corporate re-registration, not a move
• B••• O• A•••••• I••••••••• S•••••••• I••• to I••• S••••••••• I•••
  left Aug 30, 2007, registered Oct 29, 2007 (60 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

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

Wirehousederived

Years in industry

32derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address