S••••• C••••••••

• L•• F•••••••• L•• BD affiliated current
  since Oct 11, 2011 · Sharon, Ct
• U•••• F•••••••• S••••••• G••••• I••• unclassified
  Apr 15, 2010 to Oct 11, 2011 · Danbury, Ct
• T• W••••• M••••••••• S••••••• I••• unclassified
  Nov 17, 2009 to Nov 18, 2009 · Waterbury, Ct
• C••••• I••••••••• S••••••• L•• former
  Sep 5, 2007 to Nov 17, 2009 · Waterbury, Ct
• U•• F•••••••• S••••••• I••• wirehouse
  Nov 30, 2005 to Jun 11, 2007 · Stamford, Ct

• U•••• F•••••••• S••••••• G••••• I••• to L•• F•••••••• L••
  left Oct 11, 2011, registered Oct 11, 2011 (0 days) · corporate re-registration, not a move
• T• W••••• M••••••••• S••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••
  left Nov 18, 2009, registered Apr 15, 2010 (148 days) · Other
• C••••• I••••••••• S••••••• L•• to T• W••••• M••••••••• S••••••• I•••
  left Nov 17, 2009, registered Nov 17, 2009 (0 days) · corporate re-registration, not a move
• U•• F•••••••• S••••••• I••• to C••••• I••••••••• S••••••• L••
  left Jun 11, 2007, registered Sep 5, 2007 (86 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

20derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address