B• A•••• M•••••

• O•••• W•••••• I••• BD affiliated current
  since Sep 1, 2023 · Kansas City, Mo
• S•••••••• F••••••••• I••• former
  Nov 15, 2011 to Sep 1, 2023 · Kansas City, Mo
• N••• F•••••••• G••••• I••• former
  Jan 30, 2009 to Nov 16, 2011 · Houston, Tx
• U•• F•••••••• S••••••• I••• wirehouse
  Aug 18, 2006 to Feb 11, 2009 · Leawood, Ks
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Feb 6, 2002 to Aug 21, 2006 · Overland Park, Ks

• S•••••••• F••••••••• I••• to O•••• W•••••• I•••
  left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
• N••• F•••••••• G••••• I••• to S•••••••• F••••••••• I•••
  left Nov 16, 2011, registered Nov 15, 2011 (-1 days) · Other
• U•• F•••••••• S••••••• I••• to N••• F•••••••• G••••• I•••
  left Feb 11, 2009, registered Jan 30, 2009 (-12 days) · Other
• B••• O• A•••••• I••••••••• S•••••••• I••• to U•• F•••••••• S••••••• I•••
  left Aug 21, 2006, registered Aug 18, 2006 (-3 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

29derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address