R•••• V••••• R••••

• L•• F•••••••• L•• BD affiliated current
  since Sep 28, 2021 · Gaithersburg, Md
• W•••• F•••• A••••••• wirehouse
  Dec 15, 2010 to Oct 13, 2020 · Bethesda, Md
• P•• W••••• M••••••••• BD affiliated
  Mar 1, 2006 to Dec 15, 2010 · Potomac, Md
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Oct 20, 2004 to Mar 3, 2006 · Bethesda, Va
• Q•••• • R•••••• I••• unclassified
  Feb 18, 2004 to Oct 20, 2004 · Mclean, Va
• U•• F•••••••• S••••••• I••• wirehouse
  Jan 1, 1999 to Feb 24, 2004 · Bethesda, Md

• W•••• F•••• A••••••• to L•• F•••••••• L••
  left Oct 13, 2020, registered Sep 28, 2021 (350 days) · Wirehouse to affiliated broker-dealer or bank
• P•• W••••• M••••••••• to W•••• F•••• A•••••••
  left Dec 15, 2010, registered Dec 15, 2010 (0 days) · Other
• B••• O• A•••••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••
  left Mar 3, 2006, registered Mar 1, 2006 (-2 days) · Other
• Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••
  left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
• U•• F•••••••• S••••••• I••• to Q•••• • R•••••• I•••
  left Feb 24, 2004, registered Feb 18, 2004 (-6 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

38derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address