RIA Intelligence

• C••••• I••••••••• A••••••• L•• BD affiliated current
  since Jun 29, 2023 · Tulsa, Ok
• C••• L•• BD affiliated current
  since Jul 13, 2020 · Tulsa, Ok
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
  Jan 30, 2013 to Jul 16, 2020 · Tulsa, Ok
• B••••••••• F•••••••• A•••••••• L•• unclassified
  Jun 20, 2003 to Mar 28, 2013 · Tulsa, Ok
• D••••••••• I••••••••• A•••••••• L•• former
  Oct 16, 2002 to Dec 2, 2003 · Tulsa, Ok

• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C••• L••
  left Jul 16, 2020, registered Jul 13, 2020 (-3 days) · Affiliated broker-dealer or bank to another
• B••••••••• F•••••••• A•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Mar 28, 2013, registered Jan 30, 2013 (-57 days) · Other
• D••••••••• I••••••••• A•••••••• L•• to B••••••••• F•••••••• A•••••••• L••
  left Dec 2, 2003, registered Jun 20, 2003 (-165 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

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