H••••••• E•••••••• B•••••

C••••••••• F•••••••• N••••••national BDAmherst, Madual registrantIAPD 3219908

Feed of 09/14/2026

At current firm

20 y

since Oct 11, 2005

In the industry

27 y

since May 15, 1999 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••••• F•••••••• N•••••• national BD current
since Oct 11, 2005 · Amherst, Ma
B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
Oct 20, 2004 to Oct 4, 2005 · Amherst , Ma
Q•••• • R•••••• I••• unclassified
Jul 22, 2003 to Oct 20, 2004 · Amherst, Ma

Moves

a registration end followed by a registration begin elsewhere

B••• O• A•••••• I••••••••• S•••••••• I••• to C••••••••• F•••••••• N••••••
left Oct 4, 2005, registered Oct 11, 2005 (7 days) · Other
Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move

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