D••••• A••••••• F••••••

• C••••• I••••••••• A••••••• L•• BD affiliated current
  since Jun 29, 2023 · Greenville, Sc
• R•••••• J•••• • A••••••••• I••• national BD
  Apr 23, 2009 to Jul 8, 2022 · Greenville, Sc
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Dec 3, 1992 to Apr 29, 2009 · Greenville, Sc

• R•••••• J•••• • A••••••••• I••• to C••••• I••••••••• A••••••• L••
  left Jul 8, 2022, registered Jun 29, 2023 (356 days) · Affiliated broker-dealer or bank to another
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•••••• J•••• • A••••••••• I•••
  left Apr 29, 2009, registered Apr 23, 2009 (-6 days) · Wirehouse to affiliated broker-dealer or bank

• ••• Locked
  Jul 8, 2022 · Advisor changed firm · fact

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