C•••••• L••

• B•••••• L••• A••••••• S•••••••• I••• BD affiliated current
  since Nov 21, 2016 · Chicago, Il
• C•••••••• F•••••••• G•••• A••••••• former
  Jun 30, 2010 to May 27, 2016 · Farmington, Ct
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Jul 25, 2005 to Jul 2, 2008 · Manchester, Ct
• M••••• S•••••• D• I••• unclassified
  Oct 9, 2003 to Jun 20, 2005 · Hartford, Ct

• C•••••••• F•••••••• G•••• A••••••• to B•••••• L••• A••••••• S•••••••• I•••
  left May 27, 2016, registered Nov 21, 2016 (178 days) · corporate re-registration, not a move
• B••• O• A•••••• I••••••••• S•••••••• I••• to C•••••••• F•••••••• G•••• A•••••••
  left Jul 2, 2008, registered Jun 30, 2010 (728 days) · Other
• M••••• S•••••• D• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
  left Jun 20, 2005, registered Jul 25, 2005 (35 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

22derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address