H•••• C•••••••• J•••••

• P••••••• F•••••••• S•••••••• I••• BD affiliated current
  since Feb 27, 2017 · Maumee, Oh
• W•••• F•••• A••••••• wirehouse
  Dec 9, 2011 to Mar 2, 2017 · Maumee, Oh
• M••••• S•••••• wirehouse
  Jun 1, 2009 to Dec 22, 2011 · Toledo, Oh
• C•••••••• G••••• M•••••• I••• BD affiliated
  Jan 11, 2000 to Jun 1, 2009 · Toledo, Oh
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Jan 15, 1999 to Dec 17, 2002 · Maumee, Oh

• W•••• F•••• A••••••• to P••••••• F•••••••• S•••••••• I•••
  left Mar 2, 2017, registered Feb 27, 2017 (-3 days) · Other
• M••••• S•••••• to W•••• F•••• A•••••••
  left Dec 22, 2011, registered Dec 9, 2011 (-13 days) · Wirehouse to wirehouse
• C•••••••• G••••• M•••••• I••• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••
  left Dec 17, 2002, registered Jan 11, 2000 (-1071 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

29derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address