C••••••••• M• L•••

• L•• F•••••••• L•• BD affiliated current
  since Jun 9, 2021 · Niagara Falls, Ny
• M•• S••••••••• I••• unclassified
  Jan 3, 2012 to Jun 9, 2021 · Tonawanda, Ny
• H••• S••••••••• •••• I••• BD affiliated
  Oct 30, 2009 to Dec 14, 2011 · Niagara Falls, Ny
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  May 8, 2008 to Oct 21, 2008 · New York, Ny

• M•• S••••••••• I••• to L•• F•••••••• L••
  left Jun 9, 2021, registered Jun 9, 2021 (0 days) · corporate re-registration, not a move
• H••• S••••••••• •••• I••• to M•• S••••••••• I•••
  left Dec 14, 2011, registered Jan 3, 2012 (20 days) · Other
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H••• S••••••••• •••• I•••
  left Oct 21, 2008, registered Oct 30, 2009 (374 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

Broker-dealer affiliated wealth managerderived

Years in industry

18derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address