RIA Intelligence

• C••••• I••••••••• A••••••• L•• BD affiliated current
  since Mar 21, 2024 · Rome, Ga
• W•••• F•••• A••••••• wirehouse
  Sep 30, 2008 to Dec 2, 2021 · Ringgold, Ga
• M••••• K••••• • C••••••• L•• former
  Feb 13, 2007 to Sep 22, 2008 · Rome, Ga
• A•••••• I••••••••• M••••••••• C•••••• L•• unclassified
  Jul 10, 2003 to Feb 13, 2007 · Birmingham, Al
• A•••••• I••••••••• S•••••••• I••• unclassified
  Feb 4, 2003 to Jul 10, 2003 · Rome, Ga

• W•••• F•••• A••••••• to C••••• I••••••••• A••••••• L••
  left Dec 2, 2021, registered Mar 21, 2024 (840 days) · Wirehouse to affiliated broker-dealer or bank
• M••••• K••••• • C••••••• L•• to W•••• F•••• A•••••••
  left Sep 22, 2008, registered Sep 30, 2008 (8 days) · Other
• A•••••• I••••••••• M••••••••• C•••••• L•• to M••••• K••••• • C••••••• L••
  left Feb 13, 2007, registered Feb 13, 2007 (0 days) · corporate re-registration, not a move
• A•••••• I••••••••• S•••••••• I••• to A•••••• I••••••••• M••••••••• C•••••• L••
  left Jul 10, 2003, registered Jul 10, 2003 (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

Broker-dealer affiliated wealth managerderived

Years in industry

43derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address