C•••• W•••••• B••••••

U•• F•••••••• S••••••• I•••wirehouseNew York, Ny dual registrantIAPD 3260546

Feed of 09/15/2026

At current firm

8 y

since Sep 7, 2018

In the industry

26 y

since Oct 22, 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

U•• F•••••••• S••••••• I••• wirehouse current
since Sep 7, 2018 · New York, Ny
K••••• K•••••• C•••••• I••• unclassified
Feb 27, 2012 to Jun 8, 2016 · Northbrook, Il
B••••••• C•••••• I••• former
Feb 27, 2009 to Feb 24, 2010 · New York, Ny
L••••• B••••••• I••• unclassified
Feb 14, 2008 to Oct 15, 2008 · New York, Ny

Moves

a registration end followed by a registration begin elsewhere

K••••• K•••••• C•••••• I••• to U•• F•••••••• S••••••• I•••
left Jun 8, 2016, registered Sep 7, 2018 (821 days) · Other
B••••••• C•••••• I••• to K••••• K•••••• C•••••• I•••
left Feb 24, 2010, registered Feb 27, 2012 (733 days) · Other
L••••• B••••••• I••• to B••••••• C•••••• I•••
left Oct 15, 2008, registered Feb 27, 2009 (135 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: Wirehousederived
Years in industry: 26derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address