T•••••• A••• D•••••

• L•• F•••••••• L•• BD affiliated current
  since Jun 18, 2021 · Patchogue, Ny
• I••••• F•••••••• C••••••••• former
  Aug 17, 2011 to Feb 20, 2018 · Patchogue, Ny
• U•••• F•••••••• S••••••• G••••• I••• unclassified
  Apr 28, 2011 to Aug 10, 2011 · Farmingdale, Ny
• E••••• J•••• national BD
  Sep 16, 2010 to Feb 7, 2011 · St Louis, Mo
• C••• B•••••••• S•••••••• I••• former
  Sep 19, 2006 to Aug 20, 2009 · Farmingville, Ny

• I••••• F•••••••• C••••••••• to L•• F•••••••• L••
  left Feb 20, 2018, registered Jun 18, 2021 (1214 days) · corporate re-registration, not a move
• U•••• F•••••••• S••••••• G••••• I••• to I••••• F•••••••• C•••••••••
  left Aug 10, 2011, registered Aug 17, 2011 (7 days) · Other
• E••••• J•••• to U•••• F•••••••• S••••••• G••••• I•••
  left Feb 7, 2011, registered Apr 28, 2011 (80 days) · Other
• C••• B•••••••• S•••••••• I••• to E••••• J••••
  left Aug 20, 2009, registered Sep 16, 2010 (392 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

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address