J••• R••• P••••••

• C•••••• S••••• • C••• I••• national BD current
  since Feb 13, 2022 · New York City, Ny
• T• A••••••••• I••• former
  Feb 15, 2019 to Jan 11, 2021 · Sayville, Ny
• T• A••••••••• I••••••••• M••••••••• L•• former
  Feb 4, 2019 to Dec 31, 2020 · Sayville, Ny
• S•••••••• I••••••••• M••••••••• former
  Feb 23, 2017 to Mar 8, 2018 · Saint Louis, Mo

• T• A••••••••• I••• to C•••••• S••••• • C••• I•••
  left Jan 11, 2021, registered Feb 13, 2022 (398 days) · channel change inside one enterprise, not a move
• T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
  left Dec 31, 2020, registered Feb 15, 2019 (-685 days) · corporate re-registration, not a move
• S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••
  left Mar 8, 2018, registered Feb 4, 2019 (333 days) · Affiliated broker-dealer or bank to independent RIA

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

11derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address