V••••• T•••••

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since Oct 16, 2023 · Arrington, Tn
• W•••• F•••• A••••••• wirehouse
  Feb 15, 2013 to Oct 18, 2023 · Chicago, Il
• U•• F•••••••• S••••••• I••• wirehouse
  Apr 25, 2003 to Feb 25, 2013 · Chicago, Il
• C••••• S••••• S••••••••• •••• L•• former
  Jan 17, 2003 to May 19, 2003 · Chicago, Il
• P••••••• L•• unclassified
  Aug 12, 1999 to Jan 17, 2003 · Chicago, Il

• W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••
  left Oct 18, 2023, registered Oct 16, 2023 (-2 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••
  left Feb 25, 2013, registered Feb 15, 2013 (-10 days) · Wirehouse to wirehouse
• C••••• S••••• S••••••••• •••• L•• to U•• F•••••••• S••••••• I•••
  left May 19, 2003, registered Apr 25, 2003 (-24 days) · Other
• P••••••• L•• to C••••• S••••• S••••••••• •••• L••
  left Jan 17, 2003, registered Jan 17, 2003 (0 days) · corporate re-registration, not a move

• ••• Locked
  Oct 18, 2023 · Advisor changed firm · fact

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