A••••• S•••• F•••••

• O•••• W•••••• I••• BD affiliated current
  since Apr 26, 2021 · Mount Kisco, Ny
• S•••••••• F••••••••• I••• former
  Dec 3, 2009 to Jan 15, 2013 · Huntersville, Nc
• H••• S••••••••• •••• I••• BD affiliated
  Aug 28, 2006 to Apr 30, 2008 · New City, Ny
• N••••••••• I••••••••• I••• unclassified
  Jan 25, 2006 to Apr 25, 2006 · Woodbridge, Ct
• E•••••••• A•••••••• L•• national BD
  Jun 16, 2005 to Feb 3, 2006 · Stamford, Ct
• W•••• F•••• A••••••• wirehouse
  Jul 14, 2004 to Jun 17, 2005 · Ossining, Ny
• C•••• I••••••••• S••••••• C•••• former
  Oct 31, 2002 to Jul 13, 2004 · New York, Ny

• S•••••••• F••••••••• I••• to O•••• W•••••• I•••
  left Jan 15, 2013, registered Apr 26, 2021 (3023 days) · Other
• H••• S••••••••• •••• I••• to S•••••••• F••••••••• I•••
  left Apr 30, 2008, registered Dec 3, 2009 (582 days) · Other
• N••••••••• I••••••••• I••• to H••• S••••••••• •••• I•••
  left Apr 25, 2006, registered Aug 28, 2006 (125 days) · Other
• E•••••••• A•••••••• L•• to N••••••••• I••••••••• I•••
  left Feb 3, 2006, registered Jan 25, 2006 (-9 days) · Other
• W•••• F•••• A••••••• to E•••••••• A•••••••• L••
  left Jun 17, 2005, registered Jun 16, 2005 (-1 days) · Wirehouse to affiliated broker-dealer or bank
• C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••
  left Jul 13, 2004, registered Jul 14, 2004 (1 days) · Other

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

28derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address