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Registered advisor
D••••• E••••• G•••••
Feed of 09/14/2026
At current firm
7 y
since Dec 26, 2018
In the industry
24 y
since May 17, 2002 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Dec 26, 2018 · North Hampton, Nh
- O• I••••••••• M••••••••• C• BD affiliatedDec 9, 2013 to Dec 21, 2018 · North Hampton, Nh
- A••••••••• F•••••••• S•••••••• L•• national BDMar 27, 2009 to Dec 18, 2013 · Bedford, Nh
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 29, 2007 to Apr 1, 2009 · Hudson, Nh
- C••••• I••••••••• S••••••• L•• formerApr 19, 2006 to Feb 15, 2007 · Ipswich, Ma
Moves
a registration end followed by a registration begin elsewhere
- O• I••••••••• M••••••••• C• to L•• F•••••••• L••left Dec 21, 2018, registered Dec 26, 2018 (5 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- A••••••••• F•••••••• S•••••••• L•• to O• I••••••••• M••••••••• C•left Dec 18, 2013, registered Dec 9, 2013 (-9 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Apr 1, 2009, registered Mar 27, 2009 (-5 days) · Other
- C••••• I••••••••• S••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Feb 15, 2007, registered Jan 29, 2007 (-17 days) · Other
Signals
No dated event on this person.
Transition signals
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.
Provenance
- 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