S••••• E••• G•••••••

• P•••••• A•••••• G••••• L•• BD affiliated current
  since May 27, 2021 · Morristown, Nj
• V•••• F•••••••• A•••••••• I••• BD affiliated
  Oct 12, 2012 to Aug 8, 2013 · Latham, Ny
• G•••••• S•••• W••••• S•••••••• L••• BD affiliated
  Jan 11, 2011 to Sep 18, 2012 · Albany, Ny
• M••••• S•••••• • C•• L•• unclassified
  Jan 23, 2009 to Mar 2, 2009 · Albany, Ny

• V•••• F•••••••• A•••••••• I••• to P•••••• A•••••• G••••• L••
  left Aug 8, 2013, registered May 27, 2021 (2849 days) · Other
• G•••••• S•••• W••••• S•••••••• L••• to V•••• F•••••••• A•••••••• I•••
  left Sep 18, 2012, registered Oct 12, 2012 (24 days) · Other
• M••••• S•••••• • C•• L•• to G•••••• S•••• W••••• S•••••••• L•••
  left Mar 2, 2009, registered Jan 11, 2011 (680 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

17derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address