W•••••• E••••• S••••

• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
  since Nov 18, 2014 · Branford, Ct
• W•••• F•••• A••••••• wirehouse
  Jan 1, 2008 to Nov 17, 2014 · Farmington, Ct
• A• G• E•••••• • S•••• I••• unclassified
  Jan 12, 2007 to Jan 1, 2008 · Farmington, Ct
• W•••••• • R••• former
  Mar 11, 2002 to Jan 16, 2007 · Hartford, Ct

• W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Nov 17, 2014, registered Nov 18, 2014 (1 days) · Other
• A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
  left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
• W•••••• • R••• to A• G• E•••••• • S•••• I•••
  left Jan 16, 2007, registered Jan 12, 2007 (-4 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

24derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address