F•••••••• E• D••••••

• J••• M••••• S••••••••• L•• wirehouse current
  since Jun 9, 2021 · Albany, Ny
• C••••••• S••••••••• I••• BD affiliated
  May 4, 2016 to May 10, 2021 · Pittsfield, Ma
• G•••••• S•••• W••••• S•••••••• L••• BD affiliated
  Jun 3, 2015 to Apr 22, 2016 · Albany, Ny
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Jan 17, 2012 to Jun 4, 2013 · Albany, Ny

• C••••••• S••••••••• I••• to J••• M••••• S••••••••• L••
  left May 10, 2021, registered Jun 9, 2021 (30 days) · Affiliated broker-dealer or bank to wirehouse
• G•••••• S•••• W••••• S•••••••• L••• to C••••••• S••••••••• I•••
  left Apr 22, 2016, registered May 4, 2016 (12 days) · Other
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to G•••••• S•••• W••••• S•••••••• L•••
  left Jun 4, 2013, registered Jun 3, 2015 (729 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

Wirehousederived

Years in industry

14derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address