X••• L•••• H•••

• J••• M••••• S••••••••• L•• wirehouse current
  since Oct 1, 2012 · New York, Ny
• C•••• I••••••••• S••••••• C•••• former
  Jun 4, 2008 to Oct 1, 2012 · New York, Ny
• H••• S••••••••• •••• I••• BD affiliated
  Jun 6, 2007 to Jun 19, 2008 · New York, Ny
• E•••••••• A•••••••• L•• national BD
  May 6, 2003 to Mar 6, 2007 · Melville, Ny

• C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
  left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
• H••• S••••••••• •••• I••• to C•••• I••••••••• S••••••• C••••
  left Jun 19, 2008, registered Jun 4, 2008 (-15 days) · Other
• E•••••••• A•••••••• L•• to H••• S••••••••• •••• I•••
  left Mar 6, 2007, registered Jun 6, 2007 (92 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

Wirehousederived

Years in industry

31derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address