M••• R•••••• S•••••••

• S•••••• N••••••• • C••••••• I••••••••• national BD current
  since Oct 21, 2014 · Baltimore, Md
• U•• F•••••••• S••••••• I••• wirehouse
  Jan 3, 2014 to Oct 6, 2014 · Baltimore, Md
• R••••• W• B•••• • C•• I••••••••• mixed wealth
  Mar 25, 2013 to Jan 17, 2014 · Towson, Md
• M••••• S•••••• wirehouse
  Jun 1, 2009 to Apr 10, 2013 · Towson, Md
• C•••••••• G••••• M•••••• I••• BD affiliated
  Jun 16, 2008 to Jun 1, 2009 · Towson, Md

• U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••
  left Oct 6, 2014, registered Oct 21, 2014 (15 days) · Wirehouse to affiliated broker-dealer or bank
• R••••• W• B•••• • C•• I••••••••• to U•• F•••••••• S••••••• I•••
  left Jan 17, 2014, registered Jan 3, 2014 (-14 days) · Other
• M••••• S•••••• to R••••• W• B•••• • C•• I•••••••••
  left Apr 10, 2013, registered Mar 25, 2013 (-16 days) · Other
• C•••••••• G••••• M•••••• I••• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (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

32derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address