M•• W•••

• H••• S••••••••• •••• I••• BD affiliated current
  since Jan 10, 2013 · New York City, Ny
• J••• M••••• S••••••••• L•• wirehouse
  Oct 1, 2008 to May 15, 2012 · New York, Ny
• J••• M••••• S••••••••• I••• unclassified
  May 9, 2007 to Oct 1, 2008 · New York, Ny
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Oct 13, 2006 to Feb 12, 2007 · New York, Ny
• M••••• S•••••• D• I••• unclassified
  Nov 1, 2005 to Jul 24, 2006 · New York, Ny

• J••• M••••• S••••••••• L•• to H••• S••••••••• •••• I•••
  left May 15, 2012, registered Jan 10, 2013 (240 days) · Other
• J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••
  left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• I•••
  left Feb 12, 2007, registered May 9, 2007 (86 days) · Other
• M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Jul 24, 2006, registered Oct 13, 2006 (81 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