J••••••• L••• C•••

• N•••••• A••••••• BD affiliated current
  since May 23, 2022 · Pasadena, Ca
• A••••• A•• P••••••• S••••••• BD affiliated
  Jan 11, 2010 to Apr 27, 2022 · Pasadena, Ca
• A••••• A•• P••••••• S••••••• BD affiliated
  Sep 21, 2005 to Nov 13, 2009 · Pasadena, Ca
• H••••••••• G••••• E••••• • R••••••••• S••••••••• unclassified
  Oct 7, 2002 to Sep 20, 2005 · Fullerton, Ca

• A••••• A•• P••••••• S••••••• to N•••••• A•••••••
  left Apr 27, 2022, registered May 23, 2022 (26 days) · Affiliated broker-dealer or bank to another
• H••••••••• G••••• E••••• • R••••••••• S••••••••• to A••••• A•• P••••••• S•••••••
  left Sep 20, 2005, registered Sep 21, 2005 (1 days) · Other

• ••• Locked
  Apr 27, 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