J•••• W•••••• S••••

• T••••• A••••••• S•••••••• I••• BD affiliated current
  since Sep 7, 2016 · Wilmington, Nc
• C•• A•••••••• L•• unclassified
  Jul 28, 2005 to Nov 16, 2006 · New Bern, Nc
• W•••• F•••• A••••••• wirehouse
  Jun 20, 2002 to Jul 8, 2005 · New Bern, Nc
• W••••••• S••••••••• I••• unclassified
  Jun 13, 2002 to Jun 20, 2002 · Charlotte, Nc

• C•• A•••••••• L•• to T••••• A••••••• S•••••••• I•••
  left Nov 16, 2006, registered Sep 7, 2016 (3583 days) · Other
• W•••• F•••• A••••••• to C•• A•••••••• L••
  left Jul 8, 2005, registered Jul 28, 2005 (20 days) · Other
• W••••••• S••••••••• I••• to W•••• F•••• A•••••••
  left Jun 20, 2002, registered Jun 20, 2002 (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

41derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address