M•••••• S•••••••• B•••••••••

• C••••••••• F•••••••• N•••••• national BD current
  since Sep 30, 2016 · Glastonbury, Ct
• W•••• F•••• A••••••• wirehouse
  Feb 28, 2011 to Oct 12, 2016 · Cheshire, Ct
• L•• F•••••••• L•• BD affiliated
  May 27, 2008 to Mar 8, 2011 · Westfield, Ma
• I••• S••••••••• I••• unclassified
  Sep 15, 2005 to May 27, 2008 · Chicopee, Ma
• A••••••••• F•••••••• S•••••••• L•• national BD
  Mar 23, 2004 to Sep 15, 2005 · East Hartford, Ct

• W•••• F•••• A••••••• to C••••••••• F•••••••• N••••••
  left Oct 12, 2016, registered Sep 30, 2016 (-12 days) · Wirehouse to affiliated broker-dealer or bank
• L•• F•••••••• L•• to W•••• F•••• A•••••••
  left Mar 8, 2011, registered Feb 28, 2011 (-8 days) · Other
• I••• S••••••••• I••• to L•• F•••••••• L••
  left May 27, 2008, registered May 27, 2008 (0 days) · corporate re-registration, not a move
• A••••••••• F•••••••• S•••••••• L•• to I••• S••••••••• I•••
  left Sep 15, 2005, registered Sep 15, 2005 (0 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

National broker-dealer RIAderived

Years in industry

22derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address