J••• Z•••••

S•••••••• A••••••• L••national BDTuckahoe, Ny dual registrantIAPD 4184608

Feed of 09/14/2026

Also filed as J••• A••••• Z••••••••• Z••••••••• A• Z•••••

At current firm

1 y

since Mar 31, 2025

In the industry

25 y

since Oct 17, 2000 (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

S•••••••• A••••••• L•• national BD current
since Mar 31, 2025 · S••••Field, Ri
F••••••• P••••••• A•• W•••••••• A••••••• former
Sep 4, 2024 to Mar 31, 2025 · S••••Field, Ri
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
Jan 9, 2023 to May 28, 2024 · Greenwich, Ct
E•••••• A••••••• G••••• L•• BD affiliated
Mar 11, 2022 to Nov 25, 2022 · Tuckahoe, Ny
L•• F•••••••• L•• BD affiliated
Jun 9, 2021 to Mar 3, 2022 · Paramus, Nj
M•• S••••••••• I••• unclassified
Mar 17, 2021 to Jun 9, 2021 · Paramus, Nj
J••• M••••• S••••••••• L•• wirehouse
Sep 22, 2015 to Sep 30, 2020 · Hartsdale, Ny
H••• S••••••••• •••• I••• BD affiliated
Feb 24, 2014 to Sep 29, 2015 · Greenburgh, Ny
W•••• F•••• A••••••• wirehouse
Jan 29, 2008 to Feb 3, 2014 · Pleasantville, Ny
C•••• I••••••••• S••••••• C•••• former
Jun 12, 2007 to Jan 9, 2008 · Chicago, Il

Moves

a registration end followed by a registration begin elsewhere

F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••
left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••••• P••••••• A•• W•••••••• A•••••••
left May 28, 2024, registered Sep 4, 2024 (99 days) · Wirehouse to affiliated broker-dealer or bank
E•••••• A••••••• G••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
left Nov 25, 2022, registered Jan 9, 2023 (45 days) · Affiliated broker-dealer or bank to wirehouse
L•• F•••••••• L•• to E•••••• A••••••• G••••• L••
left Mar 3, 2022, registered Mar 11, 2022 (8 days) · Other
M•• S••••••••• I••• to L•• F•••••••• L••
left Jun 9, 2021, registered Jun 9, 2021 (0 days) · corporate re-registration, not a move
J••• M••••• S••••••••• L•• to M•• S••••••••• I•••
left Sep 30, 2020, registered Mar 17, 2021 (168 days) · Other
H••• S••••••••• •••• I••• to J••• M••••• S••••••••• L••
left Sep 29, 2015, registered Sep 22, 2015 (-7 days) · Other · moved with a team
W•••• F•••• A••••••• to H••• S••••••••• •••• I•••
left Feb 3, 2014, registered Feb 24, 2014 (21 days) · Other
C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••
left Jan 9, 2008, registered Jan 29, 2008 (20 days) · Other

Signals

••• Locked
May 28, 2024 · Advisor changed firm · fact
••• Locked
Nov 25, 2022 · Advisor changed firm · fact
••• Locked
Mar 3, 2022 · 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: National broker-dealer RIAderived
Years in industry: 25derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address