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R•••••• P••• L••••••••
Registered advisorat C•••••••• I••••••••• R••••••• A•••••••• I•••Dual registrant· Saco, MeIAPD 854436
As of · the IAPD feed; also filed as R••• L••••••••
- At current firm
- 17 y
- In the industry
- 38 y
- Prior registered firms
- 2
- Signals
- 0
since Aug 18, 2009
As of · the IAPD feed; also filed as R••• L••••••••
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S63
IA exams only
Registration history
IAPD current and previous registrations
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Aug 18, 2009 · Saco, Me
- F•••• A••••• A••••••• S•••••••• I••• formerJan 3, 2007 to Aug 12, 2009 · Chesterfield, Mo
- F•• A••••••• S••••••• I•• unclassifiedAug 21, 2002 to Jan 3, 2007 · Saco, Me
Moves
a registration end followed by a registration begin elsewhere
- F•••• A••••• A••••••• S•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Aug 12, 2009, registered Aug 18, 2009 (6 days) · Other
- F•• A••••••• S••••••• I•• to F•••• A••••• A••••••• S•••••••• I•••left Jan 3, 2007, registered Jan 3, 2007 (0 days) · corporate re-registration, not a move
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address