I•••• N••• L•••

• L•• F•••••••• L•• BD affiliated current
  since Dec 13, 2019 · Los Angeles, Ca
• S•••••••• F••••••••• I••• former
  Oct 31, 2008 to Dec 20, 2019 · Los Angeles, Ca
• A••••••• G•••••• S••••••••• I••••••••• unclassified
  Feb 10, 2000 to Oct 31, 2008 · Los Angeles, Ca

• S•••••••• F••••••••• I••• to L•• F•••••••• L••
  left Dec 20, 2019, registered Dec 13, 2019 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
• A••••••• G•••••• S••••••••• I••••••••• to S•••••••• F••••••••• I•••
  left Oct 31, 2008, registered Oct 31, 2008 (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

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