W•••••• W••• C••••

• C••••• I••••••••• A••••••• L•• BD affiliated current
  since Jun 29, 2023 · New York, Ny
• S••••• F•••••••• G•••• I•• former
  Nov 18, 2009 to May 20, 2021 · New York, Ny
• C•••••••• G••••• M•••••• I••• BD affiliated
  May 29, 2007 to Dec 17, 2009 · New York, Ny
• C••••••• I••••••••• S••••••• unclassified
  Dec 6, 2004 to May 29, 2007 · New York, Ny

• S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••
  left May 20, 2021, registered Jun 29, 2023 (770 days) · corporate re-registration, not a move
• C•••••••• G••••• M•••••• I••• to S••••• F•••••••• G•••• I••
  left Dec 17, 2009, registered Nov 18, 2009 (-29 days) · Other
• C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••
  left May 29, 2007, registered May 29, 2007 (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

Broker-dealer affiliated wealth managerderived

Years in industry

31derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address