S•••• M•••••• L••••

• O•••• W•••••• I••• BD affiliated current
  since Sep 29, 2017 · Los Alamitos, Ca
• N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• former
  Dec 11, 2003 to Oct 4, 2017 · Los Alamitos, Ca
• W•••• F•••• A••••••• wirehouse
  May 13, 2003 to Oct 1, 2003 · Lakewood, Ca

• N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to O•••• W•••••• I•••
  left Oct 4, 2017, registered Sep 29, 2017 (-5 days) · Other · moved with a team
• W•••• F•••• A••••••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••
  left Oct 1, 2003, registered Dec 11, 2003 (71 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

35derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address