C•••••• X••••• M••••••

C••••••• S••••••••• I•••BD affiliatedJohnston, Ri dual registrantIAPD 4663027

Feed of 09/14/2026

At current firm

2 y

since Feb 5, 2024

In the industry

22 y

since Oct 13, 2003 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

C••••••• S••••••••• I••• BD affiliated current
since Feb 5, 2024 · Sewell, Nj
C•••••• S••••• • C••• I••• national BD
Mar 14, 2022 to Jan 29, 2024 · Westlake, Tx
T• A••••••••• I••••••••• M••••••••• L•• former
Jan 2, 2009 to Sep 7, 2023 · Marlton, Nj
T• A••••••••• I••• former
Jan 2, 2009 to Oct 14, 2022 · Marlton, Nj
A••••••••• F•••••••• S•••••••• L•• national BD
Oct 15, 2003 to Dec 23, 2008 · Voorhees, Nj

Moves

a registration end followed by a registration begin elsewhere

C•••••• S••••• • C••• I••• to C••••••• S••••••••• I•••
left Jan 29, 2024, registered Feb 5, 2024 (7 days) · Affiliated broker-dealer or bank to another
T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
left Sep 7, 2023, registered Mar 14, 2022 (-542 days) · corporate re-registration, not a move
T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
left Oct 14, 2022, registered Jan 2, 2009 (-5033 days) · corporate re-registration, not a move
A••••••••• F•••••••• S•••••••• L•• to T• A••••••••• I•••
left Dec 23, 2008, registered Jan 2, 2009 (10 days) · Affiliated broker-dealer or bank to a newly registered adviser

Signals

C•••••• X••••• M•••••• left C•••••• S••••• • C••• I••• for C••••••• S••••••••• I••• (registered 2024-02-05)
Jan 29, 2024 · Advisor changed firm · fact

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: 22derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address