D••••• A•••••• C•••••••••

• I••••••••• F•••••••• G••••• L•• BD affiliated current
  since Dec 18, 2017 · Fresno, Ca
• R•• C•••••• M••••••• L•• national BD
  Oct 27, 2006 to Dec 19, 2017 · Fresno, Ca
• U•• F•••••••• S••••••• I••• wirehouse
  Aug 12, 2006 to Nov 8, 2006 · Fresno, Ca
• P•••• S•••••• • C•• institutional
  Sep 16, 1997 to Aug 12, 2006 · Fresno, Ca

• R•• C•••••• M••••••• L•• to I••••••••• F•••••••• G••••• L••
  left Dec 19, 2017, registered Dec 18, 2017 (-1 days) · Other
• U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••
  left Nov 8, 2006, registered Oct 27, 2006 (-12 days) · Wirehouse to affiliated broker-dealer or bank
• P•••• S•••••• • C•• to U•• F•••••••• S••••••• I•••
  left Aug 12, 2006, registered Aug 12, 2006 (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

Broker-dealer affiliated wealth managerderived

Years in industry

39derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address