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Registered advisor

D•••• B•••••• C•••••••••

C•••••••• I••••••••• R••••••• A•••••••• I•••BD affiliatedNorwalk, Ctdual registrantIAPD 2650690

Feed of 09/14/2026

Also filed as B•••••• D•••• C••••••••• C•••••••••

At current firm

7 y

since May 16, 2019

In the industry

30 y

since Nov 1, 1995 (earliest exam, job or registration)

Prior registered firms

4

IAPD previous registrations

State registrations

1

current, as an IAR

Firms today

1

current registrations

Exams

S65, S66, 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

C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
since May 16, 2019 · Norwalk, Ct

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Oct 23, 2014 to May 31, 2017 · Yardley, Pa
M••••• S•••••• wirehouse
Sep 12, 2012 to Oct 16, 2014 · Fort Myers, Fl
A••••••••• F•••••••• S•••••••• L•• national BD
Mar 3, 2008 to Mar 14, 2008 · East Hartford, Ct
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Feb 7, 2000 to May 17, 2005 · Hartford, Ct

Moves

a registration end followed by a registration begin elsewhere

M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
left May 31, 2017, registered May 16, 2019 (715 days) · Wirehouse to affiliated broker-dealer or bank
M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Oct 16, 2014, registered Oct 23, 2014 (7 days) · Wirehouse to wirehouse
A••••••••• F•••••••• S•••••••• L•• to M••••• S••••••
left Mar 14, 2008, registered Sep 12, 2012 (1643 days) · Affiliated broker-dealer or bank to wirehouse
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••
left May 17, 2005, registered Mar 3, 2008 (1021 days) · Wirehouse to affiliated broker-dealer or bank

Signals

No dated event on this person.

Transition signals

Mobility scoring is not published yet.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 30derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address