J••• K••• M•••••

• R•••••• J•••• • A••••••••• I••• national BD current
  since Sep 7, 2017 · Omaha, Ne
• S•••••• N••••••• • C••••••• I••••••••• national BD
  Oct 2, 2012 to Sep 14, 2017 · Omaha, Ne
• R••••• W• B•••• • C•• I••••••••• mixed wealth
  Jun 20, 2008 to Sep 27, 2012 · Elkhorn, Ne
• S•••••• N••••••• • C••••••• I••••••••• national BD
  Mar 2, 2001 to Jun 16, 2008 · Omaha, Ne

• S•••••• N••••••• • C••••••• I••••••••• to R•••••• J•••• • A••••••••• I•••
  left Sep 14, 2017, registered Sep 7, 2017 (-7 days) · Affiliated broker-dealer or bank to another
• R••••• W• B•••• • C•• I••••••••• to S•••••• N••••••• • C••••••• I•••••••••
  left Sep 27, 2012, registered Oct 2, 2012 (5 days) · Other
• S•••••• N••••••• • C••••••• I••••••••• to R••••• W• B•••• • C•• I•••••••••
  left Jun 16, 2008, registered Jun 20, 2008 (4 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

National broker-dealer RIAderived

Years in industry

40derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address