S••••• R• P••••

S•••••••• A••••••• L••national BDNewtown, Ctdual registrantIAPD 6420128

Feed of 09/14/2026

Also filed as S••••• P••••••••• R• P••••

At current firm

0 y

since Jun 9, 2026

In the industry

10 y

since Aug 1, 2016 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S65, S63

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

S•••••••• A••••••• L•• national BD current
since Jun 9, 2026 · Newtown, Ct
M•• I•••••••• S•••••••• L•• BD affiliated
Aug 19, 2019 to Mar 25, 2022 · Elmsford, Ny
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
May 25, 2018 to Sep 6, 2018 · Fairfield, Ct

Moves

a registration end followed by a registration begin elsewhere

M•• I•••••••• S•••••••• L•• to S•••••••• A••••••• L••
left Mar 25, 2022, registered Jun 9, 2026 (1537 days) · Affiliated broker-dealer or bank to another
M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• I•••••••• S•••••••• L••
left Sep 6, 2018, registered Aug 19, 2019 (347 days) · Wirehouse to affiliated broker-dealer or bank

Signals

••• Locked
Mar 25, 2022 · Advisor changed firm · fact

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: 10derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address