D•••• J••• R•••

• L•• F•••••••• L•• BD affiliated current
  since Sep 4, 2007 · Austin, Tx
• J••• M••••• S••••••••• I••• unclassified
  Sep 27, 2006 to Sep 7, 2007 · Austin, Tx
• B••• O•• S••••••••• C••••••••• unclassified
  Dec 16, 2003 to Sep 27, 2006 · Austin, Tx
• C••••••• S••••••••• former
  May 1, 2002 to Oct 10, 2002 · Austin, Tx

• J••• M••••• S••••••••• I••• to L•• F•••••••• L••
  left Sep 7, 2007, registered Sep 4, 2007 (-3 days) · Other
• B••• O•• S••••••••• C••••••••• to J••• M••••• S••••••••• I•••
  left Sep 27, 2006, registered Sep 27, 2006 (0 days) · corporate re-registration, not a move
• C••••••• S••••••••• to B••• O•• S••••••••• C•••••••••
  left Oct 10, 2002, registered Dec 16, 2003 (432 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

25derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address