S•••••• F•••••• V•••••

• T••••• A••••••• S•••••••• I••• BD affiliated current
  since Aug 24, 2016 · Tampa, Fl
• R•••••• J•••• • A••••••••• I••• national BD
  Feb 13, 2013 to Aug 17, 2016 · Tampa, Fl
• M••••• K••••• • C••••••• L•• former
  Nov 25, 2008 to Feb 13, 2013 · Tampa, Fl
• W•••• F•••• A••••••• wirehouse
  May 7, 2003 to Nov 4, 2008 · Tampa, Fl
• C•••••••• G••••• M•••••• I••• BD affiliated
  May 26, 1993 to Apr 28, 2003 · Tampa, Fl

• R•••••• J•••• • A••••••••• I••• to T••••• A••••••• S•••••••• I•••
  left Aug 17, 2016, registered Aug 24, 2016 (7 days) · Affiliated broker-dealer or bank to a newly registered adviser
• M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••
  left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to M••••• K••••• • C••••••• L••
  left Nov 4, 2008, registered Nov 25, 2008 (21 days) · Other
• C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••
  left Apr 28, 2003, registered May 7, 2003 (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

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