J•••• L••••••••

• T• P•••••• C••••• W••••• L•• BD affiliated current
  since Jun 12, 2021 · New York, Ny
• C•••••••• G••••• M•••••• I••• BD affiliated
  Jun 17, 2014 to Jul 30, 2020 · New York, Ny
• H••• S••••••••• •••• I••• BD affiliated
  Jul 9, 2012 to May 23, 2014 · New York, Ny
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Oct 18, 2010 to Apr 9, 2012 · New York, Ny

• C•••••••• G••••• M•••••• I••• to T• P•••••• C••••• W••••• L••
  left Jul 30, 2020, registered Jun 12, 2021 (317 days) · Affiliated broker-dealer or bank to another
• H••• S••••••••• •••• I••• to C•••••••• G••••• M•••••• I•••
  left May 23, 2014, registered Jun 17, 2014 (25 days) · Other
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H••• S••••••••• •••• I•••
  left Apr 9, 2012, registered Jul 9, 2012 (91 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

15derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address