M•••••• R••••• F•••••••

• R•••••• J•••• • A••••••••• I••• national BD current
  since Apr 2, 2020 · Chicago, Il
• U•• F•••••••• S••••••• I••• wirehouse
  Feb 27, 2009 to Apr 10, 2020 · Chicago, Il
• B••••••• C•••••• I••• former
  Jan 21, 2009 to Mar 9, 2009 · Chicago, Il
• L••••• B••••••• I••• unclassified
  May 18, 2004 to Oct 15, 2008 · Chicago, Il
• J••• M••••• S••••••••• L•• wirehouse
  Jun 13, 2001 to May 27, 2004 · Chicago, Il

• U•• F•••••••• S••••••• I••• to R•••••• J•••• • A••••••••• I•••
  left Apr 10, 2020, registered Apr 2, 2020 (-8 days) · Wirehouse to affiliated broker-dealer or bank
• B••••••• C•••••• I••• to U•• F•••••••• S••••••• I•••
  left Mar 9, 2009, registered Feb 27, 2009 (-10 days) · Other
• L••••• B••••••• I••• to B••••••• C•••••• I•••
  left Oct 15, 2008, registered Jan 21, 2009 (98 days) · corporate re-registration, not a move
• J••• M••••• S••••••••• L•• to L••••• B••••••• I•••
  left May 27, 2004, registered May 18, 2004 (-9 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