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Registered advisor
F••••••• C•••••••
Certified Financial Planner
Feed of 09/15/2026
At current firm
1 y
since Mar 31, 2025
In the industry
27 y
since Jan 22, 1999 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
5
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Scarsdale, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerJan 4, 2021 to Mar 31, 2025 · Scarsdale, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 7, 2019 to Oct 8, 2020 · Scarsdale, Ny
- T• A••••••••• I••• formerFeb 27, 2018 to Sep 11, 2019 · Edison, Nj
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Sep 11, 2019 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerMay 12, 2017 to Feb 26, 2018 · Saint Louis, Mo
- T• A••••••••• I••• formerNov 22, 2004 to Aug 25, 2005 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Oct 8, 2020, registered Jan 4, 2021 (88 days) · Wirehouse to affiliated broker-dealer or bank
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 11, 2019, registered Feb 27, 2018 (-561 days) · corporate re-registration, not a move
- T• A••••••••• I••• to J••• M••••• S••••••••• L••left Sep 11, 2019, registered Oct 7, 2019 (26 days) · Other
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••• to S•••••••• I••••••••• M•••••••••left Aug 25, 2005, registered May 12, 2017 (4278 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
- National broker-dealer RIAderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address