S•••• M•••••• M•••••••••

• V••••••• A•••••••• I••• BD affiliated current
  since Feb 9, 2026 · Charlotte, Nc
• V••••••• A•••••••• I••• BD affiliated
  May 21, 2021 to Dec 31, 2024 · Charlotte, Nc
• L•• F•••••••• L•• BD affiliated
  Nov 29, 2012 to Jan 2, 2015 · Rochester, Ny
• H••• S••••••••• •••• I••• BD affiliated
  Aug 23, 2010 to May 15, 2012 · Sodus, Ny
• E•••••••• A•••••••• L•• national BD
  May 11, 2010 to Aug 10, 2010 · Rochester, Ny

• L•• F•••••••• L•• to V••••••• A•••••••• I•••
  left Jan 2, 2015, registered May 21, 2021 (2331 days) · Other
• H••• S••••••••• •••• I••• to L•• F•••••••• L••
  left May 15, 2012, registered Nov 29, 2012 (198 days) · corporate re-registration, not a move
• E•••••••• A•••••••• L•• to H••• S••••••••• •••• I•••
  left Aug 10, 2010, registered Aug 23, 2010 (13 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

16derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address