M•••••• H• O•••••

• J••••• M••••••••• S•••• L•• BD affiliated current
  since Oct 13, 2017 · Riverhead, Ny
• M••••• S•••••• wirehouse
  Jun 1, 2009 to Oct 12, 2017 · Melville, Ny
• M••••• S•••••• • C•• L•• unclassified
  Apr 2, 2007 to Jun 1, 2009 · S••••Town, Ny
• M••••• S•••••• D• I••• unclassified
  Sep 22, 2006 to Apr 2, 2007 · S••••Town, Ny
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Apr 13, 2004 to Oct 2, 2006 · Riverhead , Ny

• M••••• S•••••• to J••••• M••••••••• S•••• L••
  left Oct 12, 2017, registered Oct 13, 2017 (1 days) · Other · moved with a team
• M••••• S•••••• • C•• L•• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
• M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
  left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• D• I•••
  left Oct 2, 2006, registered Sep 22, 2006 (-10 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

22derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address