L•••• P••• S•••••

• R•• C•••••• M••••••• L•• national BD current
  since Jul 9, 2024 · Rockville, Md
• W•••• F•••• A••••••• wirehouse
  Apr 3, 2007 to Jul 11, 2024 · Baltimore, Md
• W•••• F•••• A••••••• wirehouse
  Aug 10, 2005 to Nov 1, 2006 · Bethesda, Md
• C••••• S••••• S••••••••• •••• L•• former
  Jan 17, 2003 to May 6, 2003 · Baltimore, Md
• P••••••• L•• unclassified
  Mar 20, 2001 to Jan 17, 2003 · Washington, Dc

• W•••• F•••• A••••••• to R•• C•••••• M••••••• L••
  left Jul 11, 2024, registered Jul 9, 2024 (-2 days) · Wirehouse to affiliated broker-dealer or bank
• C••••• S••••• S••••••••• •••• L•• to W•••• F•••• A•••••••
  left May 6, 2003, registered Aug 10, 2005 (827 days) · Other
• P••••••• L•• to C••••• S••••• S••••••••• •••• L••
  left Jan 17, 2003, registered Jan 17, 2003 (0 days) · corporate re-registration, not a move

• ••• Locked
  Jul 11, 2024 · 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

National broker-dealer RIAderived

Years in industry

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address