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Registered advisor
S•••••• C•••••••• C••••••
Feed of 09/15/2026
Also filed as S•••••• C•••••••• C••••••••• C••••••
At current firm
6 y
since Aug 30, 2020
In the industry
30 y
since Oct 10, 1995 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- U•• F•••••••• S••••••• I••• wirehouse currentsince Aug 30, 2020 · Westport, Ct
- R•••••• J•••• • A••••••••• I••• national BDOct 3, 2016 to Aug 20, 2020 · Greenwich, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 2, 2012 to Oct 6, 2016 · Chappaqua, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to May 4, 2012 · Greenwich, Ct
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedDec 17, 2008 to Oct 23, 2009 · Greenwich, Ct
Moves
a registration end followed by a registration begin elsewhere
- R•••••• J•••• • A••••••••• I••• to U•• F•••••••• S••••••• I•••left Aug 20, 2020, registered Aug 30, 2020 (10 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••••• G••••• M•••••• I••• to R•••••• J•••• • A••••••••• I•••left Oct 6, 2016, registered Oct 3, 2016 (-3 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left May 4, 2012, registered May 2, 2012 (-2 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address