D•••• C• B••••

• L•• F•••••••• L•• BD affiliated current
  since May 18, 2022 · Peru, Ny
• C••• B•••••••• S•••••••• I••• former
  Jan 2, 2019 to May 18, 2022 · Plattsburgh, Ny
• T• A••••••••• I••• former
  May 30, 2018 to Nov 15, 2018 · Burlington, Vt
• T• A••••••••• I••••••••• M••••••••• L•• former
  May 21, 2018 to Nov 15, 2018 · South Burlington, Vt
• E••••• J•••• national BD
  Aug 30, 2017 to Apr 11, 2018 · Plattsburgh, Ny

• C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••
  left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
• T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
  left Nov 15, 2018, registered May 30, 2018 (-169 days) · channel change inside one enterprise, not a move
• T• A••••••••• I••• to C••• B•••••••• S•••••••• I•••
  left Nov 15, 2018, registered Jan 2, 2019 (48 days) · Other
• E••••• J•••• to T• A••••••••• I••••••••• M••••••••• L••
  left Apr 11, 2018, registered May 21, 2018 (40 days) · Affiliated broker-dealer or bank to independent RIA

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

10derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address