R••••• W•••••• O••••••

• O•••• W•••••• I••• BD affiliated current
  since Aug 23, 2024 · New Bern, Nc
• T•••• A•••••••• L•• former
  Aug 4, 2009 to Aug 23, 2024 · Atlanta, Ga
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated
  Jan 2, 2009 to Jul 24, 2009 · Saint Petersburg, Fl
• R•••••• J•••• F•••••••• S•••••••• I••• unclassified
  Jan 2, 2003 to Jan 2, 2009 · New Bern, Nc
• W•••• F•••• A••••••• wirehouse
  Dec 31, 2001 to Dec 11, 2002 · New Bern, Nc

• T•••• A•••••••• L•• to O•••• W•••••• I•••
  left Aug 23, 2024, registered Aug 23, 2024 (0 days) · corporate re-registration, not a move
• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to T•••• A•••••••• L••
  left Jul 24, 2009, registered Aug 4, 2009 (11 days) · Other
• R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Jan 2, 2009, registered Jan 2, 2009 (0 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S•••••••• I•••
  left Dec 11, 2002, registered Jan 2, 2003 (22 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

40derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address