W••••••• D•••••• M••••

• S•••••• N••••••• • C••••••• I••••••••• national BD current
  since Jul 7, 2015 · New Orleans, La
• S••••• A••• A•••• M••••••••• I••• former
  Mar 24, 2005 to Jul 7, 2015 · Birmingham, Al
• S•••••• A••• • L••••• I••• unclassified
  Oct 22, 2004 to Mar 24, 2005 · New Orleans, La
• W•••• F•••• A••••••• wirehouse
  Jul 1, 2003 to Nov 16, 2004 · New Orleans, La
• P••••••••• E••••• G••••• L•• unclassified
  Oct 28, 1994 to Jul 1, 2003 · New Orleans, La

• S••••• A••• A•••• M••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
  left Jul 7, 2015, registered Jul 7, 2015 (0 days) · corporate re-registration, not a move
• S•••••• A••• • L••••• I••• to S••••• A••• A•••• M••••••••• I•••
  left Mar 24, 2005, registered Mar 24, 2005 (0 days) · Other
• W•••• F•••• A••••••• to S•••••• A••• • L••••• I•••
  left Nov 16, 2004, registered Oct 22, 2004 (-25 days) · Other
• P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
  left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move

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