RIA Intelligence

• T••••• A••••••• S•••••••• I••• BD affiliated current
  since Sep 13, 2016 · Lexington, Nc
• N•• F•••••••• S•••••••• I••• unclassified
  Feb 10, 2003 to Jan 3, 2005 · Lexington, Nc
• R•• C•••••• M••••••• L•• national BD
  Oct 18, 2002 to Feb 20, 2003 · Asheboro, Nc
• J•• L•••••• S••••••••• I••• unclassified
  Dec 31, 2001 to Oct 21, 2002 · Asheboro, Nc

• N•• F•••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••
  left Jan 3, 2005, registered Sep 13, 2016 (4271 days) · Other
• R•• C•••••• M••••••• L•• to N•• F•••••••• S•••••••• I•••
  left Feb 20, 2003, registered Feb 10, 2003 (-10 days) · Other
• J•• L•••••• S••••••••• I••• to R•• C•••••• M••••••• L••
  left Oct 21, 2002, registered Oct 18, 2002 (-3 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