J•••••••• F••••• C••••••••

• E•••••••• A•••••••• L•• national BD current
  since Sep 19, 2014 · Silver Spring, Md
• O•••• F•• I••• former
  Oct 25, 2013 to Dec 7, 2013 · Silver Spring, Md
• L•• F•••••••• L•• BD affiliated
  Oct 15, 2009 to Jul 19, 2013 · North Bethesda, Md
• U•• F•••••••• S••••••• I••• wirehouse
  Jan 17, 2007 to Oct 5, 2009 · Bethesda, Md
• A••••••••• F•••••••• S•••••••• L•• national BD
  Feb 15, 2006 to Jan 19, 2007 · Gaithersburg, Md
• E•••••••• A•••••••• L•• national BD
  Jul 2, 2002 to Feb 9, 2006 · Bethesda, Md

• O•••• F•• I••• to E•••••••• A•••••••• L••
  left Dec 7, 2013, registered Sep 19, 2014 (286 days) · Other
• L•• F•••••••• L•• to O•••• F•• I•••
  left Jul 19, 2013, registered Oct 25, 2013 (98 days) · Other
• U•• F•••••••• S••••••• I••• to L•• F•••••••• L••
  left Oct 5, 2009, registered Oct 15, 2009 (10 days) · Other
• A••••••••• F•••••••• S•••••••• L•• to U•• F•••••••• S••••••• I•••
  left Jan 19, 2007, registered Jan 17, 2007 (-2 days) · Affiliated broker-dealer or bank to wirehouse
• E•••••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••
  left Feb 9, 2006, registered Feb 15, 2006 (6 days) · Affiliated broker-dealer or bank to another

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

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address