D•••••• K•••••

• J••• M••••• S••••••••• L•• wirehouse current
  since Dec 7, 2018 · New York, Ny
• M•• I•••••••• S•••••••• L•• BD affiliated
  Mar 25, 2017 to Nov 27, 2018 · Staten Island, Ny
• M•• F•••••••• S•••••••• I••• former
  Feb 13, 2015 to Mar 25, 2017 · Brooklyn, Ny
• H••• S••••••••• •••• I••• BD affiliated
  Feb 2, 2011 to Dec 11, 2014 · Brooklyn, Ny
• W•••• F•••• A••••••• wirehouse
  Dec 24, 2009 to Jan 3, 2011 · New York, Ny

• M•• I•••••••• S•••••••• L•• to J••• M••••• S••••••••• L••
  left Nov 27, 2018, registered Dec 7, 2018 (10 days) · Affiliated broker-dealer or bank to wirehouse
• M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••
  left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
• H••• S••••••••• •••• I••• to M•• F•••••••• S•••••••• I•••
  left Dec 11, 2014, registered Feb 13, 2015 (64 days) · Other
• W•••• F•••• A••••••• to H••• S••••••••• •••• I•••
  left Jan 3, 2011, registered Feb 2, 2011 (30 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

Wirehousederived

Years in industry

16derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address