RIA Intelligence

• C••••• I••••••••• A••••••• L•• BD affiliated current
  since Oct 27, 2015 · Flowery Branch, Ga
• S••••• F•••••••• G•••• I•• former
  Apr 12, 2016 to May 20, 2021 · Flowery Branch, Ga
• J• P• T••••• • C•••••• C•••••• M••••••••• L•• former
  Sep 21, 2007 to Nov 13, 2015 · Atlanta, Ga
• J••• M••••• S••••••••• L•• wirehouse
  Feb 27, 2003 to Jul 27, 2004 · Atlanta, Ga

• S••••• F•••••••• G•••• I•• to no registered destination
  left May 20, 2021 · Departure, no registered destination
• J• P• T••••• • C•••••• C•••••• M••••••••• L•• to C••••• I••••••••• A••••••• L••
  left Nov 13, 2015, registered Oct 27, 2015 (-17 days) · corporate re-registration, not a move
• J••• M••••• S••••••••• L•• to J• P• T••••• • C•••••• C•••••• M••••••••• L••
  left Jul 27, 2004, registered Sep 21, 2007 (1151 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

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