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Registered advisor
D••••• S•••••• G•••••••
Feed of 09/14/2026
Also filed as D•••• S•••••• G•••••••
At current firm
4 y
since Jan 26, 2022
In the industry
20 y
since Nov 10, 2005 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- C•••••• S••••• • C••• I••• national BD currentsince Jan 26, 2022 · Scarsdale, Ny
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 8, 2010 to Sep 7, 2023 · Scarsdale, Ny
- T• A••••••••• I••• formerOct 8, 2010 to Oct 14, 2022 · Scarsdale, Ny
- C•••• I••••••••• S••••••• C•••• formerDec 3, 2009 to Sep 29, 2010 · Whiteplains, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Jun 22, 2009 · Plainview, Ny
- C••••••• I••••••••• S••••••• unclassifiedApr 24, 2007 to May 29, 2007 · South Westbury, Ny
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 14, 2022, registered Oct 8, 2010 (-4389 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to T• A••••••••• I•••left Sep 29, 2010, registered Oct 8, 2010 (9 days) · Other
- C•••••••• G••••• M•••••• I••• to C•••• I••••••••• S••••••• C••••left Jun 22, 2009, registered Dec 3, 2009 (164 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address