M•••••• V• S••••••

• L•• F•••••••• L•• BD affiliated current
  since May 18, 2022 · Farmingville, Ny
• C••• B•••••••• S•••••••• I••• former
  Sep 6, 2019 to May 18, 2022 · Nesconset, Ny
• M••••••• P•••••• C•••••• state registered
  Jan 2, 2019 to Aug 16, 2019 · York, Pa
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Apr 6, 2016 to Jul 18, 2018 · Frederick, Md
• L•• F•••••••• L•• BD affiliated
  Jan 27, 2015 to Mar 11, 2016 · Rockville, Md

• C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••
  left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
• M••••••• P•••••• C•••••• to C••• B•••••••• S•••••••• I•••
  left Aug 16, 2019, registered Sep 6, 2019 (21 days) · Other
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••••• P•••••• C••••••
  left Jul 18, 2018, registered Jan 2, 2019 (168 days) · Wirehouse to a state-registered adviser
• L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Mar 11, 2016, registered Apr 6, 2016 (26 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

12derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address