A•••••• R•••••• S•••••

• R•• C•••••• M••••••• L•• national BD current
  since Jul 20, 2021 · Watertown, Ny
• H•••••••• A•••••••• L•• BD affiliated
  May 27, 2015 to Jul 11, 2019 · Watertown, Ny
• I••••• F•••••••• C••••••••• former
  Oct 7, 2013 to Nov 3, 2014 · Appleton, Wi
• L•• F•••••••• L•• BD affiliated
  Mar 25, 2011 to Oct 30, 2012 · Carthage, Ny
• E••••• J•••• national BD
  Apr 9, 2008 to Dec 31, 2010 · Biddeford, Me

• H•••••••• A•••••••• L•• to R•• C•••••• M••••••• L••
  left Jul 11, 2019, registered Jul 20, 2021 (740 days) · Affiliated broker-dealer or bank to another
• I••••• F•••••••• C••••••••• to H•••••••• A•••••••• L••
  left Nov 3, 2014, registered May 27, 2015 (205 days) · Other
• L•• F•••••••• L•• to I••••• F•••••••• C•••••••••
  left Oct 30, 2012, registered Oct 7, 2013 (342 days) · Other
• E••••• J•••• to L•• F•••••••• L••
  left Dec 31, 2010, registered Mar 25, 2011 (84 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

18derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address