F•••••••• H•••••

• C••••••• S••••••••• I••• BD affiliated current
  since May 24, 2021 · Albany, Ny
• M•• S••••••••• I••• unclassified
  Jan 1, 2020 to May 28, 2021 · Schaghticoke, Ny
• C••••••• S••••••••• I••• BD affiliated
  Aug 23, 2013 to Jul 31, 2014 · Schenectady, Ny
• M••••• S•••••• wirehouse
  Jun 1, 2009 to Dec 31, 2009 · Albany, Ny
• M••••• S•••••• • C•• L•• unclassified
  Apr 2, 2007 to Jun 1, 2009 · Albany, Ny
• M••••• S•••••• D• I••• unclassified
  Sep 8, 2006 to Apr 2, 2007 · Albany, Ny

• M•• S••••••••• I••• to C••••••• S••••••••• I•••
  left May 28, 2021, registered May 24, 2021 (-4 days) · Other
• C••••••• S••••••••• I••• to M•• S••••••••• I•••
  left Jul 31, 2014, registered Jan 1, 2020 (1980 days) · Other
• M••••• S•••••• to C••••••• S••••••••• I•••
  left Dec 31, 2009, registered Aug 23, 2013 (1331 days) · Other
• M••••• S•••••• • C•• L•• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
• M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
  left Apr 2, 2007, registered Apr 2, 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

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address