D••••• J• K••

• C•••••••• G••••• M•••••• I••• BD affiliated current
  since Aug 17, 2021 · Brooklyn, Ny
• J••• M••••• S••••••••• L•• wirehouse
  Oct 1, 2012 to Jun 14, 2017 · New York, Ny
• C•••• I••••••••• S••••••• C•••• former
  Oct 25, 2011 to Oct 1, 2012 · New York, Ny

• J••• M••••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••
  left Jun 14, 2017, registered Aug 17, 2021 (1525 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
  left Oct 1, 2012, registered Oct 1, 2012 (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

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