M•••••• D••••• T•••••

• L•• F•••••••• L•• BD affiliated current
  since Jun 25, 2019 · Palos Verdes Estates, Ca
• A••••••••• F•••••••• S•••••••• L•• national BD
  Nov 20, 2015 to Jun 25, 2019 · Los Angeles, Ca
• W•••••• I••••••••• S••••••••• former
  Aug 19, 2009 to Nov 23, 2015 · Torrance, Ca
• W•••• F•••• A••••••• wirehouse
  May 25, 2005 to Aug 17, 2009 · Rolling Hills Estates, Ca
• U•• F•••••••• S••••••• I••• wirehouse
  Jun 13, 2001 to Jun 17, 2005 · Long Beach, Ca

• A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••
  left Jun 25, 2019, registered Jun 25, 2019 (0 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
• W•••••• I••••••••• S••••••••• to A••••••••• F•••••••• S•••••••• L••
  left Nov 23, 2015, registered Nov 20, 2015 (-3 days) · Other
• W•••• F•••• A••••••• to W•••••• I••••••••• S•••••••••
  left Aug 17, 2009, registered Aug 19, 2009 (2 days) · Other
• U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••
  left Jun 17, 2005, registered May 25, 2005 (-23 days) · Wirehouse to wirehouse

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