D••••• E• M••••

• K•• I••••••••• S••••••• L•• BD affiliated current
  since Mar 26, 2021 · Brooklyn, Oh
• L•• F•••••••• L•• BD affiliated
  May 15, 2012 to Sep 21, 2016 · Buffalo, Ny
• H••• S••••••••• •••• I••• BD affiliated
  Feb 25, 2009 to May 15, 2012 · Tonawanda, Ny
• N••••••••• M••••• I••••••••• S••••••••• no RAUM
  Apr 22, 2008 to Feb 17, 2009 · Williamsville, Ny

• L•• F•••••••• L•• to K•• I••••••••• S••••••• L••
  left Sep 21, 2016, registered Mar 26, 2021 (1647 days) · Other · moved with a team
• H••• S••••••••• •••• I••• to L•• F•••••••• L••
  left May 15, 2012, registered May 15, 2012 (0 days) · corporate re-registration, not a move
• N••••••••• M••••• I••••••••• S••••••••• to H••• S••••••••• •••• I•••
  left Feb 17, 2009, registered Feb 25, 2009 (8 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

21derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address