P••• A••••• S••••••

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since Feb 14, 2019 · Richmond, Va
• W•••• F•••• A••••••• wirehouse
  Sep 5, 2008 to Feb 19, 2019 · Richmond, Va
• U•• F•••••••• S••••••• I••• wirehouse
  Aug 9, 2002 to Sep 19, 2008 · Richmond, Va
• P••••••••• E••••• G••••• L•• unclassified
  Aug 31, 1995 to Aug 26, 2002 · Richmond, Va

• W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••
  left Feb 19, 2019, registered Feb 14, 2019 (-5 days) · Wirehouse to affiliated broker-dealer or bank
• U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••
  left Sep 19, 2008, registered Sep 5, 2008 (-14 days) · Wirehouse to wirehouse
• P••••••••• E••••• G••••• L•• to U•• F•••••••• S••••••• I•••
  left Aug 26, 2002, registered Aug 9, 2002 (-17 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

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