T••••• T••••••• T••••••

• O•••• W•••••• I••• BD affiliated current
  since Jan 19, 2024 · Honolulu, Hi
• W••••••• F•••••••• S•••••••• I••• former
  Sep 30, 2011 to Jan 19, 2024 · Honolulu, Hi
• S••••••••• A•••••• A•••••••• I••• former
  Oct 12, 2009 to Oct 7, 2011 · Honolulu, Hi
• P•••••••• S••••••••• I••• BD affiliated
  Jun 15, 2009 to Oct 5, 2009 · Honolulu, Hi
• V•••• F•••••••• A•••••••• I••• BD affiliated
  Mar 17, 2004 to Jun 9, 2009 · Honolulu, Hi

• W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••
  left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
• S••••••••• A•••••• A•••••••• I••• to W••••••• F•••••••• S•••••••• I•••
  left Oct 7, 2011, registered Sep 30, 2011 (-7 days) · Other
• P•••••••• S••••••••• I••• to S••••••••• A•••••• A•••••••• I•••
  left Oct 5, 2009, registered Oct 12, 2009 (7 days) · Other
• V•••• F•••••••• A•••••••• I••• to P•••••••• S••••••••• I•••
  left Jun 9, 2009, registered Jun 15, 2009 (6 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

28derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address