A••• M•••• P•••••

• R•••••• J•••• • A••••••••• I••• national BD current
  since Jun 14, 2021 · Buffalo, Ny
• K•• I••••••••• S••••••• L•• BD affiliated
  Sep 21, 2016 to Dec 31, 2016 · Cheektowaga, Ny
• L•• F•••••••• L•• BD affiliated
  May 18, 2012 to Sep 21, 2016 · Buffalo, Ny
• H••• S••••••••• •••• I••• BD affiliated
  Feb 3, 2011 to May 15, 2012 · Williamsville, Ny

• K•• I••••••••• S••••••• L•• to R•••••• J•••• • A••••••••• I•••
  left Dec 31, 2016, registered Jun 14, 2021 (1626 days) · Other
• L•• F•••••••• L•• to K•• I••••••••• S••••••• L••
  left Sep 21, 2016, registered Sep 21, 2016 (0 days) · Other · moved with a team
• H••• S••••••••• •••• I••• to L•• F•••••••• L••
  left May 15, 2012, registered May 18, 2012 (3 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

National broker-dealer RIAderived

Years in industry

29derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address