D•••• B•••• D•••••

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since Jun 29, 2016 · Cincinnati, Oh
• R•••••• J•••• • A••••••••• I••• national BD
  Feb 13, 2013 to Jun 30, 2016 · Covington, Ky
• M••••• K••••• • C••••••• L•• former
  Oct 31, 2005 to Feb 13, 2013 · Covington, Ky
• C•••••••• G••••• M•••••• I••• BD affiliated
  Dec 7, 1999 to Nov 7, 2005 · Cincinnati, Oh

• R•••••• J•••• • A••••••••• I••• to A••••••••• F•••••••• S•••••••• L••
  left Jun 30, 2016, registered Jun 29, 2016 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
• M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••
  left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
• C•••••••• G••••• M•••••• I••• to M••••• K••••• • C••••••• L••
  left Nov 7, 2005, registered Oct 31, 2005 (-7 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

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