N••• F•••• M••••

• L•• F•••••••• L•• BD affiliated current
  since Dec 10, 2020 · Honolulu, Hi
• W•••• F•••• A••••••• wirehouse
  Jul 1, 2003 to Dec 14, 2020 · San Diego, Ca
• P••••••••• E••••• G••••• L•• unclassified
  Jul 8, 1997 to Jul 1, 2003 · San Diego, Ca

• W•••• F•••• A••••••• to L•• F•••••••• L••
  left Dec 14, 2020, registered Dec 10, 2020 (-4 days) · Wirehouse to affiliated broker-dealer or bank
• P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
  left Jul 1, 2003, registered Jul 1, 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