C•••••• K•• G•••••••

• L•• F•••••••• L•• BD affiliated current
  since Sep 8, 2009 · Honolulu, Hi
• A••••••••• P••••••• I••••••••• A••••••• I•• unclassified
  Jan 2, 2009 to Oct 13, 2009 · Boston, Ma
• A••••••••• S••••••••• C•••• unclassified
  Jan 2, 2009 to Sep 8, 2009 · Honolulu, Hi
• F•• S••••••••• C••••••••• former
  Jan 31, 2003 to Dec 31, 2008 · Honolulu, Hi

• A••••••••• P••••••• I••••••••• A••••••• I•• to L•• F•••••••• L••
  left Oct 13, 2009, registered Sep 8, 2009 (-35 days) · Other
• A••••••••• S••••••••• C•••• to A••••••••• P••••••• I••••••••• A••••••• I••
  left Sep 8, 2009, registered Jan 2, 2009 (-249 days) · Other
• F•• S••••••••• C••••••••• to A••••••••• S••••••••• C••••
  left Dec 31, 2008, registered Jan 2, 2009 (2 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