M••• E••••• R•••••

• S•••••• N••••••• • C••••••• I••••••••• national BD current
  since Feb 27, 2009 · Springfield, Il
• J••• M••••• S••••••••• L•• wirehouse
  Oct 1, 2008 to Feb 26, 2009 · Springfield, Il
• J••• M••••• S••••••••• I••• unclassified
  Sep 27, 2006 to Oct 1, 2008 · Springfield, Il
• B••• O•• S••••••••• C••••••••• unclassified
  Mar 19, 2002 to Sep 27, 2006 · Chicago, Il

• J••• M••••• S••••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••
  left Feb 26, 2009, registered Feb 27, 2009 (1 days) · Wirehouse to affiliated broker-dealer or bank
• J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••
  left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
• B••• O•• S••••••••• C••••••••• to J••• M••••• S••••••••• I•••
  left Sep 27, 2006, registered Sep 27, 2006 (0 days) · corporate re-registration, not a move

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

34derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address