R•••••• C•••••• N•••

• C••••• I••••••••• A••••••• L•• BD affiliated current
  since Mar 22, 2023 · Buford, Ga
• S••••• F•••••••• G•••• I•• former
  Sep 1, 2011 to May 20, 2021 · Duluth, Ga
• F•••• A••••• A••••••• S•••••••• I••• former
  Jan 3, 2007 to Sep 30, 2011 · Chesterfield, Mo
• F•• A••••••• S••••••• I•• unclassified
  Aug 21, 2002 to Jan 3, 2007 · Duluth, Ga

• S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••
  left May 20, 2021, registered Mar 22, 2023 (671 days) · corporate re-registration, not a move
• F•••• A••••• A••••••• S•••••••• I••• to S••••• F•••••••• G•••• I••
  left Sep 30, 2011, registered Sep 1, 2011 (-29 days) · Other
• F•• A••••••• S••••••• I•• to F•••• A••••• A••••••• S•••••••• I•••
  left Jan 3, 2007, registered Jan 3, 2007 (0 days) · corporate re-registration, not a move

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

37derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address