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Registered advisor
O•••• H••••••••
Feed of 09/14/2026
Also filed as John O••••
At current firm
1 y
since Mar 31, 2025
In the industry
22 y
since Jun 1, 2004 (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
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
2
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Scarsdale, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 16, 2024 to Mar 31, 2025 · Scarsdale, Ny
- C••••••• S••••••••• I••• BD affiliatedSep 26, 2023 to Aug 22, 2024 · White Plains, Ny
- E•••••• C•••••• M••••••••• L•• formerMar 26, 2019 to Aug 21, 2023 · Scarsdale, Ny
- M••••• S•••••• wirehouseJan 7, 2011 to Feb 12, 2019 · Stamford, Ct
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- C••••••• S••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 22, 2024, registered Sep 16, 2024 (25 days) · Affiliated broker-dealer or bank to another
- E•••••• C•••••• M••••••••• L•• to C••••••• S••••••••• I•••left Aug 21, 2023, registered Sep 26, 2023 (36 days) · RIA to affiliated broker-dealer or bank · moved with a team
- M••••• S•••••• to E•••••• C•••••• M••••••••• L••left Feb 12, 2019, registered Mar 26, 2019 (42 days) · Wirehouse to independent RIA
Signals
- O•••• H•••••••• left C••••••• S••••••••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2024-09-16)Aug 22, 2024 · Advisor changed firm · fact
- O•••• H•••••••• left E•••••• C•••••• M••••••••• L•• for C••••••• S••••••••• I••• (registered 2023-09-26)Aug 21, 2023 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address