J•••••• J•• R•••••

• S•••••• W••••• P•••••••• L•• BD affiliated current
  since Feb 23, 2021 · Scottsdale, Az
• W•••• F•••• A••••••• wirehouse
  Jun 18, 2013 to Mar 2, 2021 · Scottsdale, Az
• U•• F•••••••• S••••••• I••• wirehouse
  Jul 29, 2003 to Feb 28, 2005 · Scottsdale, Az
• C•••••••• G••••• M•••••• I••• BD affiliated
  Feb 25, 2002 to Aug 5, 2003 · Phoenix, Az

• W•••• F•••• A••••••• to S•••••• W••••• P•••••••• L••
  left Mar 2, 2021, registered Feb 23, 2021 (-7 days) · Wirehouse to affiliated broker-dealer or bank
• U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••
  left Feb 28, 2005, registered Jun 18, 2013 (3032 days) · Wirehouse to wirehouse
• C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••
  left Aug 5, 2003, registered Jul 29, 2003 (-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

34derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address