D•••• P•••••• R•••••

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
  since Jun 22, 2021 · Latham, Ny
• A••••• A•• P••••••• S••••••• BD affiliated
  Jun 6, 2012 to Apr 14, 2021 · Latham, Ny
• G•••••• S•••• W••••• S•••••••• L••• BD affiliated
  May 9, 2012 to May 31, 2012 · Albany, Ny
• E•••••••• A•••••••• L•• national BD
  May 16, 2008 to May 17, 2010 · Malta, Ny

• A••••• A•• P••••••• S••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Apr 14, 2021, registered Jun 22, 2021 (69 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
• G•••••• S•••• W••••• S•••••••• L••• to A••••• A•• P••••••• S•••••••
  left May 31, 2012, registered Jun 6, 2012 (6 days) · Other
• E•••••••• A•••••••• L•• to G•••••• S•••• W••••• S•••••••• L•••
  left May 17, 2010, registered May 9, 2012 (723 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

Wirehousederived

Years in industry

18derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address