M••••• A•• D••••••

• J••••• M••••••••• S•••• L•• BD affiliated current
  since May 29, 2009 · Warwick, Ri
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Sep 22, 2005 to Jun 1, 2009 · Providence, Ri
• C•••••••• G••••• M•••••• I••• BD affiliated
  Dec 17, 2003 to May 20, 2005 · Providence, Ri

• B••• O• A•••••• I••••••••• S•••••••• I••• to J••••• M••••••••• S•••• L••
  left Jun 1, 2009, registered May 29, 2009 (-3 days) · Other
• C•••••••• G••••• M•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
  left May 20, 2005, registered Sep 22, 2005 (125 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

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address