P•••• D•••• S•••••••

• O• I••••••••• M••••••••• C• BD affiliated current
  since May 21, 2018 · Los Angeles, Ca
• C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
  Jun 3, 2015 to Jun 18, 2018 · Los Angeles, Ca
• E•• F•••••••• A••••••• independent RIA
  Apr 13, 2000 to Jun 9, 2015 · Glendale, Ca

• C•••••••• I••••••••• R••••••• A•••••••• I••• to O• I••••••••• M••••••••• C•
  left Jun 18, 2018, registered May 21, 2018 (-28 days) · Affiliated broker-dealer or bank to another
• E•• F•••••••• A••••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
  left Jun 9, 2015, registered Jun 3, 2015 (-6 days) · Other

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

47derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address