N••••• R••••• W••••••

• C••••••••• F•••••••• N•••••• national BD current
  since Jan 19, 2024 · Poulsbo, Wa
• L•• F•••••••• L•• BD affiliated
  Oct 22, 2018 to Jan 31, 2024 · Mercer Island, Wa
• P•••••••• S••••••••• I••• BD affiliated
  Oct 16, 2009 to Oct 22, 2018 · Seattle, Wa
• P•••• S••••••••• L•• no RAUM
  Feb 1, 2001 to Oct 7, 2009 · Mercer Island, Wa

• L•• F•••••••• L•• to C••••••••• F•••••••• N••••••
  left Jan 31, 2024, registered Jan 19, 2024 (-12 days) · Affiliated broker-dealer or bank to another
• P•••••••• S••••••••• I••• to L•• F•••••••• L••
  left Oct 22, 2018, registered Oct 22, 2018 (0 days) · Affiliated broker-dealer or bank to independent RIA
• P•••• S••••••••• L•• to P•••••••• S••••••••• I•••
  left Oct 7, 2009, registered Oct 16, 2009 (9 days) · Other

• ••• Locked
  Jan 31, 2024 · Advisor changed firm · fact

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

National broker-dealer RIAderived

Years in industry

35derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address