P•••••• K••••• J••••••

• C••••• I••••••••• A••••••• L•• BD affiliated current
  since Jun 8, 2015 · Houston, Tx
• P• J•••••• F•••••••• S•••••••• L•• unclassified
  May 18, 2009 to Jul 31, 2015 · Houston, Tx
• N••• F•••••••• G••••• I••• former
  Nov 19, 2007 to Jun 3, 2011 · Houston, Tx
• M•••• • I••••••••• C••••••• unclassified
  Apr 2, 2001 to Feb 26, 2009 · Houston, Tx

• P• J•••••• F•••••••• S•••••••• L•• to C••••• I••••••••• A••••••• L••
  left Jul 31, 2015, registered Jun 8, 2015 (-53 days) · Other
• N••• F•••••••• G••••• I••• to P• J•••••• F•••••••• S•••••••• L••
  left Jun 3, 2011, registered May 18, 2009 (-746 days) · Other
• M•••• • I••••••••• C••••••• to N••• F•••••••• G••••• I•••
  left Feb 26, 2009, registered Nov 19, 2007 (-465 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

29derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address