W•••• M•••• C••••••

• L•• F•••••••• L•• BD affiliated current
  since May 18, 2022 · Belleair, Fl
• C••• B•••••••• S•••••••• I••• former
  Jun 11, 2009 to May 18, 2022 · Waverly, Ia
• L•• F•••••••• L•• BD affiliated
  Feb 6, 2009 to Jun 4, 2009 · San Diego, Ca
• C••• B•••••••• S•••••••• I••• former
  Jun 16, 2003 to Feb 17, 2009 · San Diego, Ca

• C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••
  left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
• L•• F•••••••• L•• to C••• B•••••••• S•••••••• I•••
  left Jun 4, 2009, registered Jun 11, 2009 (7 days) · Other
• C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••
  left Feb 17, 2009, registered Feb 6, 2009 (-11 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