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Registered advisor
A•••••••• E•••• S•••••
Feed of 09/14/2026
Also filed as Alex S•••••
At current firm
9 y
since Apr 20, 2017
In the industry
18 y
since Jan 1, 2008 (earliest exam, job or registration)
Prior registered firms
2
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- E•••••••• A•••••••• L•• national BD currentsince Apr 20, 2017 · Bala Cynwyd, Pa
- C•••••• A••••••• BD affiliatedJan 4, 2017 to Apr 10, 2017 · Allentown, Pa
- L•••••• I••••••••• independent RIAJan 4, 2017 to Apr 10, 2017 · Allentown, Pa
Moves
a registration end followed by a registration begin elsewhere
- C•••••• A••••••• to L•••••• I•••••••••left Apr 10, 2017, registered Jan 4, 2017 (-96 days) · Other
- L•••••• I••••••••• to E•••••••• A•••••••• L••left Apr 10, 2017, registered Apr 20, 2017 (10 days) · Other
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address