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Feed of 09/14/2026
At current firm
11 y
since Jan 12, 2015
In the industry
19 y
since May 12, 2007 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Jan 12, 2015 · Greenwich, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 10, 2012 to Jan 8, 2015 · Stamford, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to May 4, 2012 · Greenwich, Ct
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 1, 2009 to Oct 23, 2009 · Greenwich, Ct
Moves
a registration end followed by a registration begin elsewhere
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jan 8, 2015, registered Jan 12, 2015 (4 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left May 4, 2012, registered May 10, 2012 (6 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address