RIA Intelligence

• J••••• M••••••••• S•••• L•• BD affiliated current
  since Nov 30, 2020 · Ft. Lauderdale, Fl
• B••• S••••••••• L•• former
  Mar 21, 2016 to Dec 8, 2020 · Ft Lauderdale, Fl
• S••••••••• A•••••• A•••••••• I••• former
  May 13, 2009 to Mar 17, 2016 · Coral Springs, Fl
• N•• A•••••• S•••••••• L•• former
  Sep 20, 2005 to Apr 3, 2009 · Coral Springs, Fl
• C••••••••• F•••••••• N•••••• national BD
  Feb 16, 2005 to Sep 20, 2005 · Coral Springs, Fl
• M••••• S•••••• D• I••• unclassified
  Jul 20, 1995 to Jan 11, 2005 · Plantation, Fl

• B••• S••••••••• L•• to J••••• M••••••••• S•••• L••
  left Dec 8, 2020, registered Nov 30, 2020 (-8 days) · Affiliated broker-dealer or bank to another · moved with a team
• S••••••••• A•••••• A•••••••• I••• to B••• S••••••••• L••
  left Mar 17, 2016, registered Mar 21, 2016 (4 days) · Other
• N•• A•••••• S•••••••• L•• to S••••••••• A•••••• A•••••••• I•••
  left Apr 3, 2009, registered May 13, 2009 (40 days) · Other
• C••••••••• F•••••••• N•••••• to N•• A•••••• S•••••••• L••
  left Sep 20, 2005, registered Sep 20, 2005 (0 days) · Other
• M••••• S•••••• D• I••• to C••••••••• F•••••••• N••••••
  left Jan 11, 2005, registered Feb 16, 2005 (36 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

31derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address