D••••• J•••• T•••••

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since May 10, 2013 · Portland, Me
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Apr 20, 2006 to May 13, 2013 · Portland, Me
• A•••••• I••• unclassified
  Dec 17, 2004 to Mar 8, 2006 · Portland, Me
• B••••• S••••••••• I••• unclassified
  Mar 31, 2004 to Jan 4, 2005 · Portland, Me

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••
  left May 13, 2013, registered May 10, 2013 (-3 days) · Wirehouse to affiliated broker-dealer or bank
• A•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Mar 8, 2006, registered Apr 20, 2006 (43 days) · corporate re-registration, not a move
• B••••• S••••••••• I••• to A•••••• I•••
  left Jan 4, 2005, registered Dec 17, 2004 (-18 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

National broker-dealer RIAderived

Years in industry

28derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address