J•••• D•••••••••

• J••• M••••• S••••••••• L•• wirehouse current
  since Feb 17, 2023 · Sanford, Me
• P•••• S••••••••• L•• no RAUM
  Nov 9, 2022 to Feb 22, 2023 · Dover, Nh
• F••••••• P••••••• A•• W•••••••• A••••••• former
  Jul 13, 2018 to Oct 25, 2022 · Boston, Ma
• S•••••••• A••••••• L•• national BD
  May 2, 2018 to Jul 13, 2018 · Merrimack, Nh

• P•••• S••••••••• L•• to J••• M••••• S••••••••• L••
  left Feb 22, 2023, registered Feb 17, 2023 (-5 days) · Affiliated broker-dealer or bank to wirehouse
• F••••••• P••••••• A•• W•••••••• A••••••• to P•••• S••••••••• L••
  left Oct 25, 2022, registered Nov 9, 2022 (15 days) · Affiliated broker-dealer or bank to another
• S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
  left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move

• ••• Locked
  Feb 22, 2023 · Advisor changed firm · fact
• ••• Locked
  Oct 25, 2022 · Advisor changed firm · fact

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

10derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address