D••••• S•••••• L••••

• O•••• I••••••••• I••• BD affiliated current
  since Nov 30, 2013 · Granby, Ct
• H•••••• C•••••• A•••••••• L•• unclassified
  Aug 14, 2012 to Nov 20, 2013 · Granby, Ct
• W••••••• F•••••••• S•••••••• I••• former
  Dec 12, 2008 to Aug 16, 2012 · Granby, Ct
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  May 22, 2000 to Dec 16, 2008 · Hartford, Ct

• H•••••• C•••••• A•••••••• L•• to O•••• I••••••••• I•••
  left Nov 20, 2013, registered Nov 30, 2013 (10 days) · Other
• W••••••• F•••••••• S•••••••• I••• to H•••••• C•••••• A•••••••• L••
  left Aug 16, 2012, registered Aug 14, 2012 (-2 days) · Other
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W••••••• F•••••••• S•••••••• I•••
  left Dec 16, 2008, registered Dec 12, 2008 (-4 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

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address