RIA Intelligence

• S•••••• N••••••• • C••••••• I••••••••• national BD current
  since Dec 4, 2015 · Sarasota, Fl
• B••••••• C•••••• I••• former
  Mar 31, 2011 to Dec 4, 2015 · Chicago, Il
• M••••• S•••••• wirehouse
  Jun 1, 2009 to Apr 11, 2011 · Chicago, Il
• C•••••••• G••••• M•••••• I••• BD affiliated
  Jan 19, 1999 to Jun 1, 2009 · Chicago, Il

• B••••••• C•••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
  left Dec 4, 2015, registered Dec 4, 2015 (0 days) · corporate re-registration, not a move
• M••••• S•••••• to B••••••• C•••••• I•••
  left Apr 11, 2011, registered Mar 31, 2011 (-11 days) · Other
• 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

43derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address