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Feed of 09/14/2026
Also filed as J••• L••••
At current firm
4 y
since Mar 30, 2022
In the industry
10 y
since Sep 1, 2016 (earliest exam, job or registration)
Prior registered firms
1
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66
IA exams only
Book size
not public
not estimated here
Signals
1
dated events on this person
Registration history
IAPD current and previous registrations
- M••••• S•••••• wirehouse currentsince Mar 30, 2022 · New York, Ny
- E•••• S••••••••• L•• BD affiliatedApr 7, 2021 to Apr 1, 2022 · New York, Ny
Moves
a registration end followed by a registration begin elsewhere
- E•••• S••••••••• L•• to M••••• S••••••left Apr 1, 2022, registered Mar 30, 2022 (-2 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
Signals
- J••• M•••••• L•••• left E•••• S••••••••• L•• for M••••• S•••••• (registered 2022-03-30)Apr 1, 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
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address