L••• S• G•••••••

• M••••• S•••••• wirehouse current
  since Jun 2, 2009 · Houston, Tx
• C•••••••• G••••• M•••••• I••• BD affiliated
  May 29, 2009 to Jul 30, 2009 · Houston, Tx
• U•• I••••••••• I••• unclassified
  Jun 3, 2002 to Jun 18, 2009 · Houston, Tx
• U•• F•••••••• S••••••• I••• wirehouse
  May 14, 2001 to Jun 1, 2002 · Houston, Tx

• C•••••••• G••••• M•••••• I••• to M••••• S••••••
  left Jul 30, 2009, registered Jun 2, 2009 (-58 days) · corporate re-registration, not a move
• U•• I••••••••• I••• to C•••••••• G••••• M•••••• I•••
  left Jun 18, 2009, registered May 29, 2009 (-20 days) · Other
• U•• F•••••••• S••••••• I••• to U•• I••••••••• I•••
  left Jun 1, 2002, registered Jun 3, 2002 (2 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

Wirehousederived

Years in industry

36derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address