W•••••• E••••• G•••••

• H•••••••• A•••••••• L•• BD affiliated current
  since Jan 4, 2024 · Chicago, Il
• C•• F•••••••• P•••••••• L••• unclassified
  Aug 27, 2021 to Dec 14, 2023 · New York, Ny
• E•••••••• A•••••••• L•• national BD
  Aug 4, 2004 to Jan 4, 2024 · Stamford, Ct
• M••• S••••••••• C••••••••• unclassified
  May 30, 2002 to Aug 16, 2004 · New York, Ny

• E•••••••• A•••••••• L•• to C•• F•••••••• P•••••••• L•••
  left Jan 4, 2024, registered Aug 27, 2021 (-860 days) · Other
• C•• F•••••••• P•••••••• L••• to H•••••••• A•••••••• L••
  left Dec 14, 2023, registered Jan 4, 2024 (21 days) · Other · moved with a team
• M••• S••••••••• C••••••••• to E•••••••• A•••••••• L••
  left Aug 16, 2004, registered Aug 4, 2004 (-12 days) · Other

• ••• Locked
  Jan 4, 2024 · Advisor changed firm · fact
• ••• Locked
  Dec 14, 2023 · Advisor changed firm · fact

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