D•••• I• B••••

• K••••• A••••••• S•••••••• L•• BD affiliated current
  since Apr 19, 2016 · Wilton, Ct
• M••••• S•••••• wirehouse
  Apr 10, 2012 to Apr 2, 2013 · New York, Ny
• C•••• I••••••••• S••••••• C•••• former
  Sep 27, 2007 to Dec 2, 2011 · New York, Ny
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Oct 20, 2004 to Sep 7, 2007 · New York, Ny
• Q•••• • R•••••• I••• unclassified
  May 6, 2004 to Oct 20, 2004 · New York, Ny

• M••••• S•••••• to K••••• A••••••• S•••••••• L••
  left Apr 2, 2013, registered Apr 19, 2016 (1113 days) · Other
• C•••• I••••••••• S••••••• C•••• to M••••• S••••••
  left Dec 2, 2011, registered Apr 10, 2012 (130 days) · Other
• B••• O• A•••••• I••••••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••
  left Sep 7, 2007, registered Sep 27, 2007 (20 days) · Other
• 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

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