T•••••• D••• R•••••

• L•• F•••••••• L•• BD affiliated current
  since Dec 21, 2022 · St. Charles, Mo
• O•••• W•••••• I••• BD affiliated
  Oct 16, 2017 to Dec 13, 2022 · Scottsd•••, Az
• N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
  Nov 15, 2007 to Oct 18, 2017 · St. Albans Rd, Mo
• A••••••• G•••••• S••••••••• I••••••••• unclassified
  Nov 16, 2006 to Nov 8, 2007 · Saint Charles, Mo

• O•••• W•••••• I••• to L•• F•••••••• L••
  left Dec 13, 2022, registered Dec 21, 2022 (8 days) · Affiliated broker-dealer or bank to independent RIA
• N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to O•••• W•••••• I•••
  left Oct 18, 2017, registered Oct 16, 2017 (-2 days) · Other
• A••••••• G•••••• S••••••••• I••••••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
  left Nov 8, 2007, registered Nov 15, 2007 (7 days) · Other

• ••• Locked
  Dec 13, 2022 · 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

35derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address