W•••••• C•••••• M•••••

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since May 1, 2019 · Cranston, Ri
• S•••••• N••••••• • C••••••• I••••••••• national BD
  Aug 5, 2011 to Apr 18, 2019 · Hamden, Ct
• M••••• S•••••• wirehouse
  Jun 1, 2009 to Sep 1, 2011 · Providence, Ri
• C•••••••• G••••• M•••••• I••• BD affiliated
  Sep 14, 2000 to Jun 1, 2009 · Providence, Ri

• S•••••• N••••••• • C••••••• I••••••••• to A••••••••• F•••••••• S•••••••• L••
  left Apr 18, 2019, registered May 1, 2019 (13 days) · Affiliated broker-dealer or bank to another
• M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••
  left Sep 1, 2011, registered Aug 5, 2011 (-27 days) · Wirehouse to affiliated broker-dealer or bank
• C•••••••• G••••• M•••••• I••• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move

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

National broker-dealer RIAderived

Years in industry

45derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address