A•••••• Q••••• M•••

E•••• S••••••••• L••BD affiliatedNew York, Nydual registrantIAPD 5595481

Feed of 09/14/2026

Also filed as A•••••• Q••••••••• Q••••••••• Q••••••••• Q•••••••••

At current firm

2 y

since Feb 12, 2024

In the industry

16 y

since Nov 20, 2009 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

E•••• S••••••••• L•• BD affiliated current
since Feb 12, 2024 · New York, Ny
J••• M••••• S••••••••• L•• wirehouse
Oct 1, 2012 to Jun 23, 2015 · Bronx, Ny
C•••• I••••••••• S••••••• C•••• former
Sep 5, 2012 to Oct 1, 2012 · Bronx, Ny

Moves

a registration end followed by a registration begin elsewhere

J••• M••••• S••••••••• L•• to E•••• S••••••••• L••
left Jun 23, 2015, registered Feb 12, 2024 (3156 days) · Wirehouse to affiliated broker-dealer or bank
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

Signals

No dated event on this person.

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: 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