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Registered advisor
D•••••• A••••• M•••••
Feed of 09/14/2026
At current firm
7 y
since Feb 1, 2019
In the industry
29 y
since Dec 6, 1996 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- T• P•••••• C••••• W••••• L•• BD affiliated currentsince Feb 1, 2019 · New York, Ny
- T• P•••••• C••••• W••••• L•• BD affiliatedJul 20, 2016 to Jul 20, 2017 · New York, Ny
- L•• F•••••••• L•• BD affiliatedFeb 10, 2012 to Jun 10, 2016 · Fort Mill, Sc
- C•••• I••••••••• S••••••• C•••• formerJul 8, 2010 to Oct 3, 2011 · Great Neck, Ny
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedJun 5, 2007 to Jul 1, 2010 · Melville, Ny
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedJan 15, 2004 to Jul 25, 2005 · Bayside, Ny
- E•••• N••••••• S••••••••• I••• formerJan 15, 2004 to Jan 28, 2004 · Lake Success, Ny
Moves
a registration end followed by a registration begin elsewhere
- L•• F•••••••• L•• to T• P•••••• C••••• W••••• L••left Jun 10, 2016, registered Jul 20, 2016 (40 days) · Other
- C•••• I••••••••• S••••••• C•••• to L•• F•••••••• L••left Oct 3, 2011, registered Feb 10, 2012 (130 days) · Other
- C•••••• O•• F•••••••• A••••••• L•• to C•••• I••••••••• S••••••• C••••left Jul 1, 2010, registered Jul 8, 2010 (7 days) · Other
- E•••• N••••••• S••••••••• I••• to C•••••• O•• F•••••••• A••••••• L••left Jan 28, 2004, registered Jan 15, 2004 (-13 days) · Other
Signals
No dated event on this person.
Transition signals
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.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address