S••••• A• C••••

• M•• I•••••••• S•••••••• L•• BD affiliated current
  since Apr 16, 2018 · Shelton, Ct
• J••• M••••• S••••••••• L•• wirehouse
  Mar 3, 2016 to Jan 9, 2018 · Newtown, Ct
• M•• F•••••••• S•••••••• I••• former
  Jun 30, 2004 to Feb 11, 2016 · Shelton, Ct
• I••• S••••••••• I••• unclassified
  Jul 3, 2002 to Jun 22, 2004 · Purchase, Ny

• J••• M••••• S••••••••• L•• to M•• I•••••••• S•••••••• L••
  left Jan 9, 2018, registered Apr 16, 2018 (97 days) · Wirehouse to affiliated broker-dealer or bank
• M•• F•••••••• S•••••••• I••• to J••• M••••• S••••••••• L••
  left Feb 11, 2016, registered Mar 3, 2016 (21 days) · Other
• I••• S••••••••• I••• to M•• F•••••••• S•••••••• I•••
  left Jun 22, 2004, registered Jun 30, 2004 (8 days) · Other

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