A•••••• S••••

• N••••••••• I••••••••• A•••••••• L•• BD affiliated current
  since Apr 25, 2018 · Columbus, Oh
• J••• M••••• S••••••••• L•• wirehouse
  Jan 4, 2017 to Apr 18, 2018 · New York, Ny
• E••••• J•••• national BD
  Jun 2, 2016 to Nov 25, 2016 · Miami, Fl
• I••••••••• F•••••••• P••••••• BD affiliated
  Mar 10, 2016 to Jun 3, 2016 · Ft Lauderdale, Fl

• J••• M••••• S••••••••• L•• to N••••••••• I••••••••• A•••••••• L••
  left Apr 18, 2018, registered Apr 25, 2018 (7 days) · Wirehouse to affiliated broker-dealer or bank
• E••••• J•••• to J••• M••••• S••••••••• L••
  left Nov 25, 2016, registered Jan 4, 2017 (40 days) · Affiliated broker-dealer or bank to wirehouse
• I••••••••• F•••••••• P••••••• to E••••• J••••
  left Jun 3, 2016, registered Jun 2, 2016 (-1 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

10derivedfrom the earliest dated exam, employment or registration

Not published

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