W•••••• C•••••• M•••••••

• N•••••• A••••••• BD affiliated current
  since Oct 4, 2021 · West Hartford, Ct
• A••••• A•• P••••••• S••••••• BD affiliated
  Oct 23, 2015 to Sep 8, 2021 · Hartford, Ct
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  May 18, 2012 to Sep 16, 2015 · Hartford, Ct
• M•• F•••••••• S•••••••• I••• former
  Oct 11, 2011 to Jun 1, 2012 · Glastonbury, Ct

• A••••• A•• P••••••• S••••••• to N•••••• A•••••••
  left Sep 8, 2021, registered Oct 4, 2021 (26 days) · Affiliated broker-dealer or bank to another
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• A•• P••••••• S•••••••
  left Sep 16, 2015, registered Oct 23, 2015 (37 days) · Other
• M•• F•••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Jun 1, 2012, registered May 18, 2012 (-14 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