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Registered advisor
S••••• C•••
Feed of 09/14/2026
Also filed as S••••• M C•••
At current firm
1 y
since Mar 31, 2025
In the industry
18 y
since Aug 7, 2008 (earliest exam, job or registration)
Prior registered firms
4
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S63, S65
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Port Jefferson, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerNov 16, 2022 to Mar 31, 2025 · King Of Prussia, Pa
- P•••••••• S••••••••• I••• BD affiliatedJan 27, 2020 to Jan 4, 2022 · New York, Ny
- P•••••••• S••••••••• I••• BD affiliatedMar 3, 2016 to Jul 11, 2018 · Purchase, Ny
- S•••••••• A••••••• L•• national BDNov 22, 2011 to Feb 1, 2016 · Larchmont, Ny
Moves
a registration end followed by a registration begin elsewhere
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- P•••••••• S••••••••• I••• to F••••••• P••••••• A•• W•••••••• A•••••••left Jan 4, 2022, registered Nov 16, 2022 (316 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to P•••••••• S••••••••• I•••left Feb 1, 2016, registered Mar 3, 2016 (31 days) · Other
Signals
- S••••• C••• left P•••••••• S••••••••• I••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2022-11-16)Jan 4, 2022 · Advisor changed firm · fact
Transition signals
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.
Provenance
- 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