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Registered advisor
T•••••• S••••• P••••
Feed of 09/14/2026
At current firm
2 y
since Apr 18, 2024
In the industry
31 y
since Sep 11, 1995 (earliest exam, job or registration)
Prior registered firms
4
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
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Apr 18, 2024 · Somerset, Nj
- C••••• I••••••••• A••••••• L•• BD affiliatedNov 12, 2020 to Apr 23, 2024 · Somerset, Nj
- F•••• A••••• A••••••• S•••••••• I••• formerMay 21, 2012 to Nov 12, 2020 · Somerset, Nj
- F•••• A••••• S••••••••• I••• formerDec 9, 2008 to Jul 2, 2012 · Red Bank, Nj
- F•••• M•••••• S••••••••• C•••• unclassifiedFeb 24, 2004 to Dec 9, 2008 · South Plainfield, Nj
Moves
a registration end followed by a registration begin elsewhere
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Apr 23, 2024, registered Apr 18, 2024 (-5 days) · Affiliated broker-dealer or bank to another
- F•••• A••••• A••••••• S•••••••• I••• to C••••• I••••••••• A••••••• L••left Nov 12, 2020, registered Nov 12, 2020 (0 days) · corporate re-registration, not a move
- F•••• A••••• S••••••••• I••• to F•••• A••••• A••••••• S•••••••• I•••left Jul 2, 2012, registered May 21, 2012 (-42 days) · corporate re-registration, not a move
- F•••• M•••••• S••••••••• C•••• to F•••• A••••• S••••••••• I•••left Dec 9, 2008, registered Dec 9, 2008 (0 days) · Other
Signals
- T•••••• S••••• P•••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2024-04-18)Apr 23, 2024 · Advisor changed firm · fact
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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address