F•••••••• E•••• W••••

• L•• F•••••••• L•• BD affiliated current
  since Oct 7, 2022 · Charlotte, Nc
• R•••••• J•••• • A••••••••• I••• national BD
  Feb 13, 2013 to Oct 18, 2022 · Charlotte, Nc
• M••••• K••••• • C••••••• L•• former
  May 11, 2007 to Feb 13, 2013 · Charlotte, Nc
• C•••••••• G••••• M•••••• I••• BD affiliated
  Dec 31, 2001 to May 25, 2007 · Charlotte, Nc

• R•••••• J•••• • A••••••••• I••• to L•• F•••••••• L••
  left Oct 18, 2022, registered Oct 7, 2022 (-11 days) · Affiliated broker-dealer or bank to independent RIA
• 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 May 25, 2007, registered May 11, 2007 (-14 days) · Other

• ••• Locked
  Oct 18, 2022 · 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

Broker-dealer affiliated wealth managerderived

Years in industry

42derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address