A••••• D••••• B••••

• R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated current
  since Dec 3, 2018 · Bellevue, Wa
• M•• I•••••••• S•••••••• L•• BD affiliated
  Mar 25, 2017 to Dec 5, 2018 · Bellevue, Wa
• M•• F•••••••• S•••••••• I••• former
  Nov 3, 2003 to Mar 25, 2017 · Bellevue, Wa
• N•• E•••••• S••••••••• C••••••••• former
  Jul 20, 2000 to Apr 1, 2004 · Bellevue, Wa

• M•• I•••••••• S•••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••
  left Dec 5, 2018, registered Dec 3, 2018 (-2 days) · Affiliated broker-dealer or bank to another
• M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••
  left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
• N•• E•••••• S••••••••• C••••••••• to M•• F•••••••• S•••••••• I•••
  left Apr 1, 2004, registered Nov 3, 2003 (-150 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