K•••• W•••• R•••

• C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated current
  since Jan 10, 2018 · Mason, Oh
• O• I••••••••• M••••••••• C• BD affiliated
  Jul 19, 2006 to May 5, 2008 · Cincinnati, Oh
• L••••• A•••••••• L•• former
  Nov 8, 2004 to Apr 1, 2005 · Maineville, Oh
• 1••• C•••••• M••••••••• C•••••• unclassified
  Aug 2, 2002 to Jul 3, 2003 · Cincinnati, Oh

• O• I••••••••• M••••••••• C• to C•••••••• I••••••••• R••••••• A•••••••• I•••
  left May 5, 2008, registered Jan 10, 2018 (3537 days) · Other
• L••••• A•••••••• L•• to O• I••••••••• M••••••••• C•
  left Apr 1, 2005, registered Jul 19, 2006 (474 days) · Other
• 1••• C•••••• M••••••••• C•••••• to L••••• A•••••••• L••
  left Jul 3, 2003, registered Nov 8, 2004 (494 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

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address