D•••••• W•••• C•••

• L•• F•••••••• L•• BD affiliated current
  since Jan 8, 2020 · Carlsbad, Ca
• C••• F••••••••• L•• unclassified
  Mar 2, 2010 to Dec 31, 2012
• S•••••••• F••••••••• I••• former
  Oct 31, 2005 to Jan 13, 2020 · Carlsbad, Ca
• C••• F••••••••• L•• unclassified
  Aug 30, 2004 to Dec 31, 2009 · Carlsbad, Ca
• S••••• S••••••••• C••••••••• unclassified
  Jan 28, 2002 to Oct 31, 2005 · Carlsbad, Ca

• S•••••••• F••••••••• I••• to C••• F••••••••• L••
  left Jan 13, 2020, registered Mar 2, 2010 (-3604 days) · Other
• C••• F••••••••• L•• to L•• F•••••••• L••
  left Dec 31, 2012, registered Jan 8, 2020 (2564 days) · Other
• C••• F••••••••• L•• to S•••••••• F••••••••• I•••
  left Dec 31, 2009, registered Oct 31, 2005 (-1522 days) · Other
• S••••• S••••••••• C••••••••• to C••• F••••••••• L••
  left Oct 31, 2005, registered Aug 30, 2004 (-427 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