C••••• B•••• L••••••

• B••••••• F• E•••••• • C••••••• I••••••••• BD affiliated current
  since Jul 20, 2016 · St. Louis, Mo
• M••••• S•••••• wirehouse
  Jun 1, 2009 to Aug 11, 2016 · Naperville, Il
• C•••••••• G••••• M•••••• I••• BD affiliated
  Nov 21, 2008 to Jun 1, 2009 · Naperville, Il
• M••••• S•••••• • C•• L•• unclassified
  Apr 2, 2007 to Dec 19, 2008 · Oak Brook, Il
• M••••• S•••••• D• I••• unclassified
  Mar 13, 1998 to Apr 2, 2007 · Oak Brook, Il

• M••••• S•••••• to B••••••• F• E•••••• • C••••••• I•••••••••
  left Aug 11, 2016, registered Jul 20, 2016 (-22 days) · Other
• C•••••••• G••••• M•••••• I••• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
• M••••• S•••••• • C•• L•• to C•••••••• G••••• M•••••• I•••
  left Dec 19, 2008, registered Nov 21, 2008 (-28 days) · Other
• M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••
  left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move

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

33derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address