T••••• J• B•••••

• K••••• A••••••• S•••••••• L•• BD affiliated current
  since Nov 23, 2021 · Grafton, Oh
• W•••• F•••• A••••••• wirehouse
  Jan 1, 2008 to Nov 22, 2021 · Westlake, Oh
• A• G• E•••••• • S•••• I••• unclassified
  Mar 1, 2006 to Jan 1, 2008 · St. Louis, Mo
• M••••• S•••••• D• I••• unclassified
  Apr 2, 2001 to Mar 21, 2006 · Westlake, Oh

• W•••• F•••• A••••••• to K••••• A••••••• S•••••••• L••
  left Nov 22, 2021, registered Nov 23, 2021 (1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••
  left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
• M••••• S•••••• D• I••• to A• G• E•••••• • S•••• I•••
  left Mar 21, 2006, registered Mar 1, 2006 (-20 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

38derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address