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Registered advisor
S••• Q•••• L•
Feed of 09/14/2026
Also filed as S••• Q•••• L•
At current firm
15 y
since Sep 16, 2011
In the industry
17 y
since Jun 13, 2009 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
6
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Sep 16, 2011 · New York, Ny
- B••••••• C•••••• I••• formerJun 15, 2009 to Sep 30, 2011 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- B••••••• C•••••• I••• to J••• M••••• S••••••••• L••left Sep 30, 2011, registered Sep 16, 2011 (-14 days) · Other
Signals
No dated event on this person.
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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address