J•••••• V•••••• D••••••••

• E•••••••• A•••••••• L•• national BD current
  since Aug 3, 2021 · Plantsville, Ct
• P•••• S••••••••• L•• no RAUM
  Jul 23, 2019 to Aug 3, 2021 · Shelton, Ct
• M•• I•••••••• S•••••••• L•• BD affiliated
  Apr 9, 2018 to Jul 29, 2019 · Shelton, Ct
• E•••• S••••••••• L•• BD affiliated
  Dec 21, 2015 to Apr 5, 2018 · Stratford, Ct
• M•• F•••••••• S•••••••• I••• former
  Mar 21, 2014 to Sep 18, 2015 · Oakville, Ct
• W•••• F•••• A••••••• wirehouse
  Jun 13, 2008 to May 27, 2010 · Melville, Ny

• P•••• S••••••••• L•• to E•••••••• A•••••••• L••
  left Aug 3, 2021, registered Aug 3, 2021 (0 days) · Affiliated broker-dealer or bank to another
• M•• I•••••••• S•••••••• L•• to P•••• S••••••••• L••
  left Jul 29, 2019, registered Jul 23, 2019 (-6 days) · Affiliated broker-dealer or bank to another
• E•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••
  left Apr 5, 2018, registered Apr 9, 2018 (4 days) · Affiliated broker-dealer or bank to another
• M•• F•••••••• S•••••••• I••• to E•••• S••••••••• L••
  left Sep 18, 2015, registered Dec 21, 2015 (94 days) · Other
• W•••• F•••• A••••••• to M•• F•••••••• S•••••••• I•••
  left May 27, 2010, registered Mar 21, 2014 (1394 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

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