K•••• M••••••

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since Apr 16, 2018 · Jacksonville, Fl
• C••••• A••••••• L•• former
  Jan 26, 2017 to Apr 9, 2018 · Maitland, Fl
• M•• F•••••••• S•••••••• I••• former
  Feb 4, 2014 to Dec 23, 2014 · Orlando, Fl
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Sep 17, 2009 to Dec 7, 2011 · Jacksonville, Fl

• C••••• A••••••• L•• to A••••••••• F•••••••• S•••••••• L••
  left Apr 9, 2018, registered Apr 16, 2018 (7 days) · Affiliated broker-dealer or bank to another
• M•• F•••••••• S•••••••• I••• to C••••• A••••••• L••
  left Dec 23, 2014, registered Jan 26, 2017 (765 days) · Other
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• F•••••••• S•••••••• I•••
  left Dec 7, 2011, registered Feb 4, 2014 (790 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

38derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address