P•••••• L••••• E•••

• C•••••• S••••• • C••• I••• national BD current
  since Jan 26, 2022 · Northbrook, Il
• T• A••••••••• I••••••••• M••••••••• L•• former
  May 17, 2006 to Sep 7, 2023 · Northbrook, Il
• T• A••••••••• I••• former
  Sep 6, 2005 to Oct 14, 2022 · Northbrook, Il
• E•••••• C•••••• M••••••••• L•• former
  Apr 14, 2003 to Aug 29, 2005 · Niles, Il
• H••• B••••• C•••••• M••••••••• I••• unclassified
  Feb 21, 2001 to Oct 31, 2002 · Chicago, Il

• T• A••••••••• I••••••••• M••••••••• L•• to C•••••• S••••• • C••• I•••
  left Sep 7, 2023, registered Jan 26, 2022 (-589 days) · corporate re-registration, not a move
• T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••
  left Oct 14, 2022, registered May 17, 2006 (-5994 days) · corporate re-registration, not a move
• E•••••• C•••••• M••••••••• L•• to T• A••••••••• I•••
  left Aug 29, 2005, registered Sep 6, 2005 (8 days) · Other
• H••• B••••• C•••••• M••••••••• I••• to E•••••• C•••••• M••••••••• L••
  left Oct 31, 2002, registered Apr 14, 2003 (165 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

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