D•••• B•••• M•••••

• R•• C•••••• M••••••• L•• national BD current
  since Aug 21, 2019 · Easton, Md
• U•• F•••••••• S••••••• I••• wirehouse
  Nov 17, 2010 to Sep 2, 2019 · Hunt Valley, Md
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Aug 20, 2004 to Nov 19, 2010 · Hunt Valley, Md
• M••••• S•••••• D• I••• unclassified
  Sep 24, 1997 to Aug 26, 2004 · Baltimore, Md

• U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••
  left Sep 2, 2019, registered Aug 21, 2019 (-12 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••
  left Nov 19, 2010, registered Nov 17, 2010 (-2 days) · Wirehouse to wirehouse
• M••••• S•••••• D• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Aug 26, 2004, registered Aug 20, 2004 (-6 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

37derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address