A•••••• K••• T••

• O•••• W•••••• I••• BD affiliated current
  since Sep 1, 2023 · Bettendorf, Ia
• S•••••••• F••••••••• I••• former
  Aug 29, 2012 to Sep 1, 2023 · Scottsdale, Az
• N••• F•••••••• G••••• I••• former
  Nov 23, 2004 to Aug 28, 2012 · Oquawka, Il
• R•••••• J•••• F•••••••• S•••••••• I••• unclassified
  May 20, 1999 to Dec 1, 2004 · Monmouth, Il

• S•••••••• F••••••••• I••• to O•••• W•••••• I•••
  left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
• N••• F•••••••• G••••• I••• to S•••••••• F••••••••• I•••
  left Aug 28, 2012, registered Aug 29, 2012 (1 days) · Other
• R•••••• J•••• F•••••••• S•••••••• I••• to N••• F•••••••• G••••• I•••
  left Dec 1, 2004, registered Nov 23, 2004 (-8 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

33derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address