D•••• R••••• K••••••

• L•• F•••••••• L•• BD affiliated current
  since Dec 11, 2019 · Carlsbad, Ca
• S•••••••• F••••••••• I••• former
  Mar 15, 2007 to Dec 16, 2019 · Carlsbad, Ca
• W•••• F•••• A••••••• wirehouse
  Jul 1, 2003 to May 20, 2005 · San Diego, Ca
• P••••••••• E••••• G••••• L•• unclassified
  Aug 1, 2000 to Jul 1, 2003 · San Diego, Ca

• S•••••••• F••••••••• I••• to L•• F•••••••• L••
  left Dec 16, 2019, registered Dec 11, 2019 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
• W•••• F•••• A••••••• to S•••••••• F••••••••• I•••
  left May 20, 2005, registered Mar 15, 2007 (664 days) · Other
• P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
  left Jul 1, 2003, registered Jul 1, 2003 (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