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Registered advisor
A••• S•••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as A••• J S•••••••
At current firm
1 y
since Mar 31, 2025
In the industry
13 y
since Feb 1, 2013 (earliest exam, job or registration)
Prior registered firms
5
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 · New York, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 29, 2020 to Mar 31, 2025 · New York, Ny
- E•••••• C•••••• M••••••••• L•• formerMar 5, 2019 to Jul 1, 2020 · New York, Ny
- E•••••••• A•••••••• L•• national BDJun 15, 2017 to Feb 26, 2019 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 1, 2013 to Apr 7, 2017 · Lynbrook, Ny
- M••••• S•••••• wirehouseFeb 4, 2013 to Mar 12, 2013 · Garden City, 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
- E•••••• C•••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 1, 2020, registered Jul 29, 2020 (28 days) · RIA to affiliated broker-dealer or bank
- E•••••••• A•••••••• L•• to E•••••• C•••••• M••••••••• L••left Feb 26, 2019, registered Mar 5, 2019 (7 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••••••• A•••••••• L••left Apr 7, 2017, registered Jun 15, 2017 (69 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 12, 2013, registered Mar 1, 2013 (-11 days) · Wirehouse to wirehouse
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address