R•••••• A•••• B••••

• L•• F•••••••• L•• BD affiliated current
  since Dec 9, 2010 · Irving, Tx
• A••••••••• S••••••••• C•••• unclassified
  Feb 3, 2004 to Dec 31, 2008 · Boston, Ma
• A••••••••• P••••••• I••••••••• A••••••• I•• unclassified
  Jan 5, 2004 to Oct 13, 2009 · Irving, Tx
• F•• A••••••• S••••••• I•• unclassified
  Jul 29, 1998 to Dec 31, 2004 · Irving, Tx

• A••••••••• P••••••• I••••••••• A••••••• I•• to A••••••••• S••••••••• C••••
  left Oct 13, 2009, registered Feb 3, 2004 (-2079 days) · Other
• A••••••••• S••••••••• C•••• to L•• F•••••••• L••
  left Dec 31, 2008, registered Dec 9, 2010 (708 days) · Other
• F•• A••••••• S••••••• I•• to A••••••••• P••••••• I••••••••• A••••••• I••
  left Dec 31, 2004, registered Jan 5, 2004 (-361 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

33derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address