X••••• A••••• A••••

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since Nov 13, 2023 · Syosset, Ny
• T• A••••••••• I••••••••• M••••••••• L•• former
  Aug 8, 2014 to Aug 14, 2015 · Great Neck, Ny
• T• A••••••••• I••• former
  Aug 8, 2014 to Aug 14, 2015 · Manhasset, Ny
• H•••••• T••••••• • K•••• L•• independent RIA
  Aug 3, 2007 to Jan 23, 2009 · New York, Ny
• E•••••••• A•••••••• L•• national BD
  May 1, 2007 to Aug 13, 2007 · Melville, Ny

• T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
  left Aug 14, 2015, registered Aug 8, 2014 (-371 days) · channel change inside one enterprise, not a move
• T• A••••••••• I••• to A••••••••• F•••••••• S•••••••• L••
  left Aug 14, 2015, registered Nov 13, 2023 (3013 days) · Other
• H•••••• T••••••• • K•••• L•• to T• A••••••••• I••••••••• M••••••••• L••
  left Jan 23, 2009, registered Aug 8, 2014 (2023 days) · Other
• E•••••••• A•••••••• L•• to H•••••• T••••••• • K•••• L••
  left Aug 13, 2007, registered Aug 3, 2007 (-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

National broker-dealer RIAderived

Years in industry

19derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address