RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since Jun 9, 2021 · Randolph, Nj
• M•• S••••••••• I••• unclassified
  May 2, 2013 to Jun 9, 2021 · Village Of Montebello, Ny
• S•••••••• S••••••••• BD affiliated
  Sep 19, 2012 to Apr 10, 2013 · Bloomfield, Nj
• L•• F•••••••• L•• BD affiliated
  May 27, 2008 to Sep 19, 2012 · North Arlington, Nj
• I••• S••••••••• I••• unclassified
  Feb 15, 2006 to May 27, 2008 · Bloomfield, Nj

• M•• S••••••••• I••• to L•• F•••••••• L••
  left Jun 9, 2021, registered Jun 9, 2021 (0 days) · corporate re-registration, not a move
• S•••••••• S••••••••• to M•• S••••••••• I•••
  left Apr 10, 2013, registered May 2, 2013 (22 days) · Other
• L•• F•••••••• L•• to S•••••••• S•••••••••
  left Sep 19, 2012, registered Sep 19, 2012 (0 days) · corporate re-registration, not a move
• I••• S••••••••• I••• to L•• F•••••••• L••
  left May 27, 2008, registered May 27, 2008 (0 days) · corporate re-registration, not a move

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

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