S•••••• J••••• C•••

• L•• F•••••••• L•• BD affiliated current
  since Dec 13, 2021 · Spokane, Wa
• S••••••••• A•••••• A•••••••• I••• former
  Nov 6, 2020 to Dec 13, 2021 · Spokane, Wa
• K•• F•••••••• S•••••••• I•• former
  Nov 17, 2006 to Nov 6, 2020 · Seattle, Wa
• M•• I•••••••• S•••••••• L•• BD affiliated
  Sep 26, 2003 to Dec 4, 2006 · Spokane, Wa

• S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••
  left Dec 13, 2021, registered Dec 13, 2021 (0 days) · corporate re-registration, not a move
• K•• F•••••••• S•••••••• I•• to S••••••••• A•••••• A•••••••• I•••
  left Nov 6, 2020, registered Nov 6, 2020 (0 days) · corporate re-registration, not a move
• M•• I•••••••• S•••••••• L•• to K•• F•••••••• S•••••••• I••
  left Dec 4, 2006, registered Nov 17, 2006 (-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

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