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Registered advisor
H•••••• D••••
Feed of 09/15/2026
Also filed as H•••••• Hugh D••••
At current firm
1 y
since Mar 31, 2025
In the industry
16 y
since Jul 29, 2010 (earliest exam, job or registration)
Prior registered firms
7
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Plainview, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerFeb 3, 2023 to Mar 31, 2025 · Plainview, Ny
- W•••• F•••• A••••••• wirehouseJul 10, 2018 to Sep 21, 2021 · Garden City, Ny
- C••• B•••••••• S•••••••• I••• formerMar 31, 2017 to Jun 28, 2018 · Westbury, Ny
- L•• F•••••••• L•• BD affiliatedMar 31, 2014 to Mar 2, 2017 · Jamaica, Ny
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedSep 19, 2012 to Apr 2, 2014 · Melville, Ny
- O•••• W•••••• I••• BD affiliatedOct 13, 2011 to Sep 5, 2012 · Smithtown, Ny
- S••••••• I••••••••• I••• formerAug 13, 2010 to Feb 18, 2011 · Westbury, 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
- W•••• F•••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 21, 2021, registered Feb 3, 2023 (500 days) · Wirehouse to affiliated broker-dealer or bank
- C••• B•••••••• S•••••••• I••• to W•••• F•••• A•••••••left Jun 28, 2018, registered Jul 10, 2018 (12 days) · RIA to wirehouse
- L•• F•••••••• L•• to C••• B•••••••• S•••••••• I•••left Mar 2, 2017, registered Mar 31, 2017 (29 days) · Other
- C•••••• O•• F•••••••• A••••••• L•• to L•• F•••••••• L••left Apr 2, 2014, registered Mar 31, 2014 (-2 days) · Other
- O•••• W•••••• I••• to C•••••• O•• F•••••••• A••••••• L••left Sep 5, 2012, registered Sep 19, 2012 (14 days) · Other
- S••••••• I••••••••• I••• to O•••• W•••••• I•••left Feb 18, 2011, registered Oct 13, 2011 (237 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address