M•••••• T••••• C••••

• T••••• A••••••• S•••••••• I••• BD affiliated current
  since Feb 17, 2021 · Naples, Fl
• B••• S••••••••• L•• former
  Mar 3, 2017 to Feb 17, 2021 · Naples, Fl
• W•••• F•••• A••••••• wirehouse
  Jan 3, 2006 to Mar 8, 2017 · Naples, Fl
• E•••••• C•••••• M••••••••• L•• former
  Jul 23, 2003 to Dec 21, 2005 · Naples, Fl
• U•• F•••••••• S••••••• I••• wirehouse
  Dec 16, 1994 to Jul 30, 2003 · Naples, Fl

• B••• S••••••••• L•• to T••••• A••••••• S•••••••• I•••
  left Feb 17, 2021, registered Feb 17, 2021 (0 days) · corporate re-registration, not a move
• W•••• F•••• A••••••• to B••• S••••••••• L••
  left Mar 8, 2017, registered Mar 3, 2017 (-5 days) · Other
• E•••••• C•••••• M••••••••• L•• to W•••• F•••• A•••••••
  left Dec 21, 2005, registered Jan 3, 2006 (13 days) · Other
• U•• F•••••••• S••••••• I••• to E•••••• C•••••• M••••••••• L••
  left Jul 30, 2003, registered Jul 23, 2003 (-7 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