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Registered advisor
A••••• E• S••••••
Feed of 09/17/2026
Also filed as A••••• S••••••
At current firm
5 y
since Aug 17, 2021
In the industry
19 y
since Dec 27, 2006 (earliest exam, job or registration)
Prior registered firms
4
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•••••••• G••••• M•••••• I••• BD affiliated currentsince Aug 17, 2021 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedOct 20, 2015 to Nov 29, 2017 · Jackson Heights, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 26, 2013 to Sep 2, 2015 · Jackson Heights, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Feb 5, 2013 · Jackson Heights, Ny
- C•••• I••••••••• S••••••• C•••• formerFeb 1, 2011 to Oct 1, 2012 · Jackson Heights, Ny
Moves
a registration end followed by a registration begin elsewhere
- H••• S••••••••• •••• I••• to C•••••••• G••••• M•••••• I•••left Nov 29, 2017, registered Aug 17, 2021 (1357 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H••• S••••••••• •••• I•••left Sep 2, 2015, registered Oct 20, 2015 (48 days) · Other · moved with a team
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 5, 2013, registered Feb 26, 2013 (21 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address