S••••• M•••••• C•••••••••

• P•••••••• S••••••••• I••• BD affiliated current
  since Jul 10, 2012 · Danville, Ca
• E•••••••• A•••••••• L•• national BD
  Apr 30, 2007 to Sep 28, 2011 · Danville, Ca
• 1••• C•••••• M••••••••• C•••••• unclassified
  Apr 2, 2004 to May 14, 2007 · Walnut Creek, Ca
• M•• F•••••••• S•••••••• I••• former
  Nov 8, 1999 to Mar 28, 2003 · Lafayette, Ca

• E•••••••• A•••••••• L•• to P•••••••• S••••••••• I•••
  left Sep 28, 2011, registered Jul 10, 2012 (286 days) · Other
• 1••• C•••••• M••••••••• C•••••• to E•••••••• A•••••••• L••
  left May 14, 2007, registered Apr 30, 2007 (-14 days) · Other
• M•• F•••••••• S•••••••• I••• to 1••• C•••••• M••••••••• C••••••
  left Mar 28, 2003, registered Apr 2, 2004 (371 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

31derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address