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R•••••• R••
Registered advisorat S•••••• N••••••• • C••••••• I•••••••••Dual registrant· Lake Forest, IlIAPD 3104220
As of · the IAPD feed; also filed as R•••• R••
- At current firm
- 7 y
- In the industry
- 24 y
- Prior registered firms
- 2
- Signals
- 0
since Jun 25, 2019
As of · the IAPD feed; also filed as R•••• R••
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Registration history
IAPD current and previous registrations
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jun 25, 2019 · Lake Forest, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 19, 2016 to Oct 11, 2017 · Chicago, Il
- L•••••• F•••••••• S•••••••• I••• unclassifiedOct 19, 2001 to Jul 1, 2003 · Chicago, Il
Moves
a registration end followed by a registration begin elsewhere
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••left Oct 11, 2017, registered Jun 25, 2019 (622 days) · Wirehouse to affiliated broker-dealer or bank
- L•••••• F•••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 1, 2003, registered Sep 19, 2016 (4829 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address