RIA Intelligence

• S••••• A••••••• I••• BD affiliated current
  since Sep 23, 2019 · Birmingham, Al
• A••••••••• F•••••••• S•••••••• L•• national BD
  Sep 18, 2015 to Oct 2, 2019 · Birmingham, Al
• S•••••• N••••••• • C••••••• I••••••••• national BD
  Oct 1, 2013 to Sep 8, 2015 · Montgomery, Al
• S••••• A••• A•••• M••••••••• I••• former
  Feb 25, 2013 to Oct 14, 2013 · Montgomery, Al
• M••••• S•••••• wirehouse
  Apr 30, 2012 to Jan 25, 2013 · Montgomery, Al

• A••••••••• F•••••••• S•••••••• L•• to S••••• A••••••• I•••
  left Oct 2, 2019, registered Sep 23, 2019 (-9 days) · Affiliated broker-dealer or bank to another · moved with a team
• S•••••• N••••••• • C••••••• I••••••••• to A••••••••• F•••••••• S•••••••• L••
  left Sep 8, 2015, registered Sep 18, 2015 (10 days) · Affiliated broker-dealer or bank to another
• S••••• A••• A•••• M••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
  left Oct 14, 2013, registered Oct 1, 2013 (-13 days) · Other
• M••••• S•••••• to S••••• A••• A•••• M••••••••• I•••
  left Jan 25, 2013, registered Feb 25, 2013 (31 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