D•••• R•••••• C••••••

• L•• F•••••••• L•• BD affiliated current
  since Jul 21, 2021 · Tavernier, Fl
• W•••••• • R••• former
  Sep 9, 2013 to Jul 21, 2021 · Overland Park, Ks
• T••••••••• F•••••••• A•••••••• L•• BD affiliated
  Apr 17, 2012 to Sep 5, 2013 · Colorado Springs, Co
• F••••• W••••• A••••••• S••••••• L•• unclassified
  Sep 9, 2008 to Dec 31, 2009 · Kansas City, Mo
• F•••• W••• S••••• C•••• unclassified
  Aug 1, 2007 to Jan 14, 2008 · Kansas City, Mo

• W•••••• • R••• to L•• F•••••••• L••
  left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
• T••••••••• F•••••••• A•••••••• L•• to W•••••• • R•••
  left Sep 5, 2013, registered Sep 9, 2013 (4 days) · Other
• F••••• W••••• A••••••• S••••••• L•• to T••••••••• F•••••••• A•••••••• L••
  left Dec 31, 2009, registered Apr 17, 2012 (838 days) · Other
• F•••• W••• S••••• C•••• to F••••• W••••• A••••••• S••••••• L••
  left Jan 14, 2008, registered Sep 9, 2008 (239 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

28derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address