D•••• J• E••••

• F•••• T•••• S••••••••• I••• BD affiliated current
  since Oct 21, 2015 · West Chester, Oh
• M••••• S•••••• wirehouse
  Feb 7, 2014 to Oct 20, 2015 · Cincinnati, Oh
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Jul 8, 2011 to Jan 10, 2014 · Fort Mitchell, Ky
• S••••••• F•••••••• S•••••••• I••• former
  Jun 6, 2002 to Dec 31, 2002 · Covington, Ky

• M••••• S•••••• to F•••• T•••• S••••••••• I•••
  left Oct 20, 2015, registered Oct 21, 2015 (1 days) · Other
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••
  left Jan 10, 2014, registered Feb 7, 2014 (28 days) · Wirehouse to wirehouse
• S••••••• F•••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Dec 31, 2002, registered Jul 8, 2011 (3111 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