R••••• R•••••• E•••••••

• O•••• W•••••• I••• BD affiliated current
  since Jun 14, 2024 · Manchester Center, Vt
• S••••••••• A•••••• A•••••••• I••• former
  Sep 18, 2020 to Jun 14, 2024 · Manchester Center, Vt
• S•• A•••••••• I••• former
  Nov 13, 2008 to Sep 18, 2020 · Manchester Center, Vt
• E•••••••• A•••••••• L•• national BD
  Apr 23, 2008 to Nov 18, 2008 · New York, Ny

• S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••
  left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
• S•• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••
  left Sep 18, 2020, registered Sep 18, 2020 (0 days) · corporate re-registration, not a move
• E•••••••• A•••••••• L•• to S•• A•••••••• I•••
  left Nov 18, 2008, registered Nov 13, 2008 (-5 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

46derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address