D•••• C••••• J••••

• J• W• C••• A•••••••• I••• BD affiliated current
  since Jun 20, 2023 · Tampa, Fl
• L•• F•••••••• L•• BD affiliated
  Nov 11, 2011 to May 8, 2023 · Rock Springs, Wy
• M••••• S•••••• wirehouse
  Jun 1, 2009 to Nov 18, 2011 · Rock Spring, Wy
• M••••• S•••••• • C•• L•• unclassified
  Apr 2, 2007 to Jun 1, 2009 · Rock Spring, Wy
• M••••• S•••••• D• I••• unclassified
  Jun 6, 2005 to Apr 2, 2007 · Rock Springs, Wy

• L•• F•••••••• L•• to J• W• C••• A•••••••• I•••
  left May 8, 2023, registered Jun 20, 2023 (43 days) · Affiliated broker-dealer or bank to another
• M••••• S•••••• to L•• F•••••••• L••
  left Nov 18, 2011, registered Nov 11, 2011 (-7 days) · Other
• M••••• S•••••• • C•• L•• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
• M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
  left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move

• ••• Locked
  May 8, 2023 · Advisor changed firm · fact

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