M•••••• W••••• S••••••

• L•• F•••••••• L•• BD affiliated current
  since Jan 28, 2009 · Gilbert, Az
• C••• B•••••••• S•••••••• I••• former
  Oct 7, 2004 to Jan 22, 2009 · Phoenix, Az
• B••• O•• S••••••••• C••••••••• unclassified
  Aug 16, 2004 to Oct 4, 2004 · Scottsdale, Az
• N•••••• I••••••••• I••• unclassified
  May 2, 2003 to Jun 3, 2004 · Peoria, Il
• L•••••• F•••••••• S•••••••• I••• unclassified
  Oct 19, 2001 to May 8, 2003

• C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••
  left Jan 22, 2009, registered Jan 28, 2009 (6 days) · Other
• B••• O•• S••••••••• C••••••••• to C••• B•••••••• S•••••••• I•••
  left Oct 4, 2004, registered Oct 7, 2004 (3 days) · Other
• N•••••• I••••••••• I••• to B••• O•• S••••••••• C•••••••••
  left Jun 3, 2004, registered Aug 16, 2004 (74 days) · Other
• L•••••• F•••••••• S•••••••• I••• to N•••••• I••••••••• I•••
  left May 8, 2003, registered May 2, 2003 (-6 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

34derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address