A•••••••• G•••• G••••••••

R•• C•••••• M••••••• L••national BDNew York, Ny dual registrantIAPD 6971051

Certified Financial Planner

Feed of 09/15/2026

Also filed as A•••••••• G••••••••• G•••• G••••••••

At current firm

3 y

since Sep 28, 2022

In the industry

12 y

since Aug 1, 2014 (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

R•• C•••••• M••••••• L•• national BD current
since Sep 28, 2022 · Boston, Ma
U•• F•••••••• S••••••• I••• wirehouse
Nov 17, 2021 to Oct 3, 2022 · Boston, Ma
G•••••• S•••• W••••• S•••••••• L••• BD affiliated
Feb 28, 2019 to Oct 14, 2021 · Albany, Ny

Moves

a registration end followed by a registration begin elsewhere

U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••
left Oct 3, 2022, registered Sep 28, 2022 (-5 days) · Wirehouse to affiliated broker-dealer or bank
G•••••• S•••• W••••• S•••••••• L••• to U•• F•••••••• S••••••• I•••
left Oct 14, 2021, registered Nov 17, 2021 (34 days) · Affiliated broker-dealer or bank to wirehouse

Signals

••• Locked
Oct 3, 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: 12derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address