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Registered advisor
A•••••• D• C•••••
Certified Financial Planner
Feed of 09/15/2026
Also filed as A•••••• Dominic C•••••
At current firm
2 y
since Dec 8, 2023
In the industry
26 y
since Feb 10, 2000 (earliest exam, job or registration)
Prior registered firms
6
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Dec 8, 2023 · Boca Raton, Fl
- R•• C•••••• M••••••• L•• national BDNov 27, 2020 to Dec 22, 2023 · Westport, Ct
- M••••• S•••••• wirehouseOct 21, 2011 to Dec 21, 2020 · Ridgefield, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Oct 25, 2011 · Ridgefield, Ct
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Oct 23, 2009 · Hamden, Ct
- Q•••• • R•••••• I••• unclassifiedAug 3, 2004 to Oct 20, 2004 · Hartford, Ct
- U•• F•••••••• S••••••• I••• wirehouseJun 15, 2001 to Aug 20, 2004 · Ridgefield, Ct
Moves
a registration end followed by a registration begin elsewhere
- R•• C•••••• M••••••• L•• to L•• F•••••••• L••left Dec 22, 2023, registered Dec 8, 2023 (-14 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to R•• C•••••• M••••••• L••left Dec 21, 2020, registered Nov 27, 2020 (-24 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Oct 25, 2011, registered Oct 21, 2011 (-4 days) · Wirehouse to wirehouse
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- 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
- U•• F•••••••• S••••••• I••• to Q•••• • R•••••• I•••left Aug 20, 2004, registered Aug 3, 2004 (-17 days) · Other
Signals
- A•••••• D• C••••• left R•• C•••••• M••••••• L•• for L•• F•••••••• L•• (registered 2023-12-08)Dec 22, 2023 · Advisor changed firm · fact
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
- 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