C•••••• A• B•••••

• T••••••••• F•••••••• A•••••••• L•• BD affiliated current
  since Aug 11, 2020 · Las Vegas, Nv
• L••••••• A••••••• N••••• unclassified
  Jan 7, 2012 to Jan 31, 2017 · Las Vegas, Nv
• S•••••••• F••••••••• I••• former
  Jul 13, 2007 to Jul 30, 2007 · Roseville, Ca
• C•••••• S••••• • C••• I••• national BD
  Feb 7, 2000 to Jun 19, 2002 · Englewood, Co

• L••••••• A••••••• N••••• to T••••••••• F•••••••• A•••••••• L••
  left Jan 31, 2017, registered Aug 11, 2020 (1288 days) · Other
• S•••••••• F••••••••• I••• to L••••••• A••••••• N•••••
  left Jul 30, 2007, registered Jan 7, 2012 (1622 days) · Other
• C•••••• S••••• • C••• I••• to S•••••••• F••••••••• I•••
  left Jun 19, 2002, registered Jul 13, 2007 (1850 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

31derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address