D••• F• Q•••••

• L•• F•••••••• L•• BD affiliated current
  since Dec 8, 2023 · Stamford, Ct
• O•••• W•••••• I••• BD affiliated
  Sep 1, 2023 to Dec 12, 2023 · Stamford, Ct
• S•••••••• F••••••••• I••• former
  May 17, 2007 to Sep 1, 2023 · Johnston, Ri
• P••• A••••• S••••••••• L•• BD affiliated
  Feb 23, 2004 to Jan 6, 2005 · Stamford, Ct
• M•• F•••••••• S•••••••• I••• former
  Apr 29, 2002 to Sep 22, 2003 · Shelton, Ct

• O•••• W•••••• I••• to L•• F•••••••• L••
  left Dec 12, 2023, registered Dec 8, 2023 (-4 days) · Affiliated broker-dealer or bank to another · moved with a team
• S•••••••• F••••••••• I••• to O•••• W•••••• I•••
  left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
• P••• A••••• S••••••••• L•• to S•••••••• F••••••••• I•••
  left Jan 6, 2005, registered May 17, 2007 (861 days) · Other
• M•• F•••••••• S•••••••• I••• to P••• A••••• S••••••••• L••
  left Sep 22, 2003, registered Feb 23, 2004 (154 days) · Other

• ••• Locked
  Dec 12, 2023 · Advisor changed firm · fact

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