S••• T•••••• M•••••••

• O•••• W•••••• I••• BD affiliated current
  since Aug 2, 2023 · Scottsdale, Az
• L•••••••• T••••••• A•••• M••••••••• I•• other
  Jun 2, 2023 to Jun 5, 2023 · New York, Ny
• S•••••••• F••••••••• I••• former
  May 5, 2014 to Sep 1, 2023 · Scottsdale, Az
• S••••• W••••• A•••••••• I••• no RAUM
  Jan 3, 2012 to Oct 1, 2012 · Phoenix, Az
• C•••••• S••••• • C••• I••• national BD
  May 1, 2006 to Dec 31, 2011 · Phoenix, Az
• C•••••• S••••• • C••• I••• national BD
  Feb 26, 2003 to Jul 15, 2004 · Orlando, Fl

• S•••••••• F••••••••• I••• to L•••••••• T••••••• A•••• M••••••••• I••
  left Sep 1, 2023, registered Jun 2, 2023 (-91 days) · channel change inside one enterprise, not a move
• L•••••••• T••••••• A•••• M••••••••• I•• to O•••• W•••••• I•••
  left Jun 5, 2023, registered Aug 2, 2023 (58 days) · channel change inside one enterprise, not a move · moved with a team
• S••••• W••••• A•••••••• I••• to S•••••••• F••••••••• I•••
  left Oct 1, 2012, registered May 5, 2014 (581 days) · Other
• C•••••• S••••• • C••• I••• to S••••• W••••• A•••••••• I•••
  left Dec 31, 2011, registered Jan 3, 2012 (3 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