L••• T•••••• C•••••••

• C•••••• R••• S•••••••• P••••••• L•• state registered current
  since Dec 10, 2012 · Waterford, Ct
• M••••• S•••••• wirehouse
  Jun 1, 2009 to Oct 29, 2012 · Essex, Ct
• C•••••••• G••••• M•••••• I••• BD affiliated
  Apr 29, 2008 to Jun 1, 2009 · Essex, Ct

• M••••• S•••••• to C•••••• R••• S•••••••• P••••••• L••
  left Oct 29, 2012, registered Dec 10, 2012 (42 days) · Wirehouse to a state-registered adviser
• C•••••••• G••••• M•••••• I••• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

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

STATE REGISTEREDderived

Years in industry

18derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address