J•••• D••• C••••••••

• A••••••• A••••••• S•••••••• L•• BD affiliated current
  since Nov 1, 2021 · Charlotte, Nc
• M•• F•••••••• S•••••••• I••• former
  Aug 31, 2011 to Nov 19, 2013 · Charlotte, Nc
• H•••••• T••••••• • K•••• L•• independent RIA
  Dec 31, 2000 to Jul 22, 2011 · Charlotte, Nc

• M•• F•••••••• S•••••••• I••• to A••••••• A••••••• S•••••••• L••
  left Nov 19, 2013, registered Nov 1, 2021 (2904 days) · Other
• H•••••• T••••••• • K•••• L•• to M•• F•••••••• S•••••••• I•••
  left Jul 22, 2011, registered Aug 31, 2011 (40 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