A•••••• D••••••

• S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated current
  since Sep 22, 2021 · Stamford, Ct
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
  Mar 4, 2015 to Dec 8, 2016 · New York, Ny
• U•• F•••••••• S••••••• I••• wirehouse
  Jun 18, 2004 to Feb 10, 2015 · Stamford, Ct

• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S•••••• P••••••• I••••••••• A•••••••• L••
  left Dec 8, 2016, registered Sep 22, 2021 (1749 days) · Other · moved with a team
• U•• F•••••••• S••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Feb 10, 2015, registered Mar 4, 2015 (22 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

22derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address