K•••••• F••• L•••

• L•• F•••••••• L•• BD affiliated current
  since Aug 23, 2018 · Lodi, Ca
• W•••• F•••• A••••••• wirehouse
  Sep 18, 2015 to Aug 28, 2018 · Lodi, Ca
• W•••• F•••• A••••••• wirehouse
  Jul 1, 2003 to Sep 18, 2015 · Stockton, Ca
• P••••••••• E••••• G••••• L•• unclassified
  Jan 12, 2001 to Jul 1, 2003 · Stockton, Ca

• W•••• F•••• A••••••• to L•• F•••••••• L••
  left Aug 28, 2018, registered Aug 23, 2018 (-5 days) · Wirehouse to independent RIA · moved with a team
• W•••• F•••• A••••••• to W•••• F•••• A•••••••
  left Sep 18, 2015, registered Sep 18, 2015 (0 days) · channel change inside one enterprise, not a move · moved with a team
• P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
  left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move

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