J•••••• D•••• C••••

• O••••••••• • C•• I••• BD affiliated current
  since Jun 22, 2006 · Cincinnati, Oh
• W•••• F•••• A••••••• wirehouse
  Jul 1, 2003 to Jan 11, 2006 · Cincinnati, Oh
• P••••••••• E••••• G••••• L•• unclassified
  Sep 12, 1999 to Jul 1, 2003 · Cincinnati, Oh

• W•••• F•••• A••••••• to O••••••••• • C•• I•••
  left Jan 11, 2006, registered Jun 22, 2006 (162 days) · Other
• P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••
  left Jul 1, 2003, registered Jul 1, 2003 (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

32derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address