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Registered advisor
S•••• T•••••• H••••••
Feed of 09/14/2026
At current firm
1 y
since Jul 10, 2025
In the industry
17 y
since May 13, 2009 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- L•• F•••••••• L•• BD affiliated currentsince Jul 10, 2025 · Glastonbury, Ct
- C•••••• G•••• • C• I•• formerMay 5, 2023 to Jul 10, 2025 · Syracuse, Ny
- S••••••••• A•••••• A•••••••• I••• formerJul 17, 2020 to May 15, 2023 · Glastonbury, Ct
- I••••••••• A••••••• S••••••• I•• formerSep 1, 2015 to Jul 17, 2020 · Glastonbury, Ct
- I••••• F•••••••• C••••••••• formerJan 4, 2010 to Sep 1, 2015 · Norwich, Ct
Moves
a registration end followed by a registration begin elsewhere
- C•••••• G•••• • C• I•• to L•• F•••••••• L••left Jul 10, 2025, registered Jul 10, 2025 (0 days) · corporate re-registration, not a move
- S••••••••• A•••••• A•••••••• I••• to C•••••• G•••• • C• I••left May 15, 2023, registered May 5, 2023 (-10 days) · Affiliated broker-dealer or bank to another · moved with a team
- I••••••••• A••••••• S••••••• I•• to S••••••••• A•••••• A•••••••• I•••left Jul 17, 2020, registered Jul 17, 2020 (0 days) · corporate re-registration, not a move
- I••••• F•••••••• C••••••••• to I••••••••• A••••••• S••••••• I••left Sep 1, 2015, registered Sep 1, 2015 (0 days) · Other · moved with a team
Signals
- S•••• T•••••• H•••••• left S••••••••• A•••••• A•••••••• I••• for C•••••• G•••• • C• I•• (registered 2023-05-05)May 15, 2023 · 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address