J•• A•••• C••••••

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since Dec 8, 2023 · Dallas, Tx
• J••• M••••• S••••••••• L•• wirehouse
  Oct 1, 2012 to Dec 9, 2023 · Dallas, Tx
• C•••• I••••••••• S••••••• C•••• former
  Jun 1, 2012 to Oct 1, 2012 · Dallas, Tx
• J••• M••••• S••••••••• L•• wirehouse
  Oct 1, 2008 to May 15, 2012 · Dallas, Tx
• J••• M••••• S••••••••• I••• unclassified
  Feb 22, 2008 to Oct 1, 2008 · Dallas, Tx

• J••• M••••• S••••••••• L•• to A••••••••• F•••••••• S•••••••• L••
  left Dec 9, 2023, registered Dec 8, 2023 (-1 days) · Wirehouse to affiliated broker-dealer or bank
• C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
  left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
• J••• M••••• S••••••••• L•• to C•••• I••••••••• S••••••• C••••
  left May 15, 2012, registered Jun 1, 2012 (17 days) · Other
• J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••
  left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move

• ••• Locked
  Dec 9, 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

42derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address