C•••••• L••• E••••

• P••••••• F•••••••• S•••••••• I••• BD affiliated current
  since Jul 28, 2014 · Dallas, Tx
• W•••• F•••• A••••••• wirehouse
  May 16, 2014 to Aug 6, 2014 · Plano, Tx
• R•• C•••••• M••••••• L•• national BD
  Aug 30, 2002 to Jun 6, 2014 · Frisco, Tx
• M••••• S•••••• D• I••• unclassified
  Apr 19, 1994 to Sep 6, 2002 · Plano, Tx

• W•••• F•••• A••••••• to P••••••• F•••••••• S•••••••• I•••
  left Aug 6, 2014, registered Jul 28, 2014 (-9 days) · Other
• R•• C•••••• M••••••• L•• to W•••• F•••• A•••••••
  left Jun 6, 2014, registered May 16, 2014 (-21 days) · Affiliated broker-dealer or bank to wirehouse
• M••••• S•••••• D• I••• to R•• C•••••• M••••••• L••
  left Sep 6, 2002, registered Aug 30, 2002 (-7 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

38derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address