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Registered advisor
S•••••• C•••••••
Feed of 09/14/2026
Also filed as S•••••• N C•••••••
At current firm
8 y
since Oct 23, 2017
In the industry
16 y
since Jan 28, 2010 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
3
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 23, 2017 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedJul 30, 2013 to Sep 27, 2017 · Bronx, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jun 27, 2013 · Brooklyn, Ny
- C•••• I••••••••• S••••••• C•••• formerJul 22, 2011 to Oct 1, 2012 · Brooklyn, Ny
Moves
a registration end followed by a registration begin elsewhere
- H••• S••••••••• •••• I••• to J••• M••••• S••••••••• L••left Sep 27, 2017, registered Oct 23, 2017 (26 days) · Other
- J••• M••••• S••••••••• L•• to H••• S••••••••• •••• I•••left Jun 27, 2013, registered Jul 30, 2013 (33 days) · Other
- 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
- Wirehousederived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address