J••• P•••••• C••••••

• L•• F•••••••• L•• BD affiliated current
  since Feb 14, 2018 · Fredonia, Ny
• I••••• F•••••••• C••••••••• former
  Nov 1, 2013 to Feb 20, 2018 · Appleton, Wi
• H••• S••••••••• •••• I••• BD affiliated
  Jun 20, 2007 to May 14, 2012 · Springville, Ny
• K•• I••••••••• S••••••• L•• BD affiliated
  Jan 18, 2006 to Oct 9, 2006 · Orchard Park, Ny
• K•••••• C•••••• M•••••• I••• unclassified
  Jul 21, 2003 to Jan 18, 2006 · Orchard Park, Ny

• I••••• F•••••••• C••••••••• to L•• F•••••••• L••
  left Feb 20, 2018, registered Feb 14, 2018 (-6 days) · corporate re-registration, not a move
• H••• S••••••••• •••• I••• to I••••• F•••••••• C•••••••••
  left May 14, 2012, registered Nov 1, 2013 (536 days) · Other
• K•• I••••••••• S••••••• L•• to H••• S••••••••• •••• I•••
  left Oct 9, 2006, registered Jun 20, 2007 (254 days) · Other
• K•••••• C•••••• M•••••• I••• to K•• I••••••••• S••••••• L••
  left Jan 18, 2006, registered Jan 18, 2006 (0 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

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