M•••••• T•••••••

• L•• F•••••••• L•• BD affiliated current
  since Jun 13, 2019 · Guilford, Ct
• A••••••••• F•••••••• S•••••••• L•• national BD
  Oct 30, 2015 to Jun 21, 2019 · North Haven, Ct
• M••••• S•••••• wirehouse
  Jun 1, 2009 to Nov 5, 2015 · Hartford, Ct
• C•••••••• G••••• M•••••• I••• BD affiliated
  Nov 14, 2008 to Jun 1, 2009 · Hartford, Ct
• U•• F•••••••• S••••••• I••• wirehouse
  Apr 24, 2006 to Nov 24, 2008 · Stamford, Ct

• A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••
  left Jun 21, 2019, registered Jun 13, 2019 (-8 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
• M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••
  left Nov 5, 2015, registered Oct 30, 2015 (-6 days) · Wirehouse to affiliated broker-dealer or bank
• C•••••••• G••••• M•••••• I••• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
• U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••
  left Nov 24, 2008, registered Nov 14, 2008 (-10 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