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Registered advisor
D•••••• B• S•••••••
Feed of 09/15/2026
Also filed as D•••••• B Jr S•••••••
At current firm
9 y
since Mar 25, 2017
In the industry
30 y
since Aug 6, 1996 (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
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
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 25, 2017 · West Hartford, Ct
- M•• F•••••••• S•••••••• I••• formerJan 2, 2015 to Mar 25, 2017 · West Hartford, Ct
- N•• E•••••• S••••••••• C••••••••• formerFeb 4, 2009 to Jan 2, 2015 · West Hartford, Ct
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJun 14, 2005 to Jan 16, 2009 · West Hartford, Ct
- N•• E•••••• S••••••••• C••••••••• formerJan 2, 2002 to Apr 28, 2005 · Waterbury, Ct
Moves
a registration end followed by a registration begin elsewhere
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••left Jan 2, 2015, registered Jan 2, 2015 (0 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to N•• E•••••• S••••••••• C•••••••••left Jan 16, 2009, registered Feb 4, 2009 (19 days) · Other
- N•• E•••••• S••••••••• C••••••••• to N••••••••• M••••• I••••••••• S•••••••••left Apr 28, 2005, registered Jun 14, 2005 (47 days) · Other
Signals
No dated event on this person.
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address