T••••• F•••••••• W••••••

• C•••••• S••••• • C••• I••• national BD current
  since Jul 7, 2021 · Chicago, Il
• T•••••••• A•••••••• I••• former
  Nov 13, 2015 to May 11, 2021 · Chicago, Il
• T• A••••••••• I••••••••• M••••••••• L•• former
  Dec 23, 2013 to Nov 13, 2015 · Chicago, Il
• T• A••••••••• I••• former
  Dec 23, 2013 to Jul 7, 2021 · Chicago, Il

• T• A••••••••• I••• to T•••••••• A•••••••• I•••
  left Jul 7, 2021, registered Nov 13, 2015 (-2063 days) · channel change inside one enterprise, not a move
• T•••••••• A•••••••• I••• to C•••••• S••••• • C••• I•••
  left May 11, 2021, registered Jul 7, 2021 (57 days) · channel change inside one enterprise, not a move
• T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••
  left Nov 13, 2015, registered Dec 23, 2013 (-690 days) · channel change inside one enterprise, 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

16derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address