V••••• R•••••• H•••

• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
  since Dec 5, 2016 · Victoria, Tx
• C••••• I••••••••• A••••••• L•• BD affiliated
  Oct 26, 2016 to Dec 2, 2016 · Taft, Tx
• O•••• F•• I••• former
  Aug 1, 2014 to Apr 19, 2016 · Portland, Tx
• M•• F•••••••• S•••••••• I••• former
  Mar 10, 2010 to Jan 21, 2014 · Irvine, Ca

• C••••• I••••••••• A••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Dec 2, 2016, registered Dec 5, 2016 (3 days) · Other · moved with a team
• O•••• F•• I••• to C••••• I••••••••• A••••••• L••
  left Apr 19, 2016, registered Oct 26, 2016 (190 days) · Other
• M•• F•••••••• S•••••••• I••• to O•••• F•• I•••
  left Jan 21, 2014, registered Aug 1, 2014 (192 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

29derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address