N••• L• W•

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
  since Sep 5, 2007 · Oklahoma City, Ok
• W•••• F•••• A••••••• wirehouse
  Sep 14, 2004 to Sep 6, 2007 · Oklahoma City, Ok
• C•••••••• I••••••••• R•••••••• I••• unclassified
  Oct 17, 2003 to Oct 5, 2004 · Norman, Ok
• E•••••••• A•••••••• L•• national BD
  Dec 8, 1999 to Nov 5, 2003 · Norman , Ok

• W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Sep 6, 2007, registered Sep 5, 2007 (-1 days) · Wirehouse to wirehouse
• C•••••••• I••••••••• R•••••••• I••• to W•••• F•••• A•••••••
  left Oct 5, 2004, registered Sep 14, 2004 (-21 days) · Other
• E•••••••• A•••••••• L•• to C•••••••• I••••••••• R•••••••• I•••
  left Nov 5, 2003, registered Oct 17, 2003 (-19 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

Wirehousederived

Years in industry

32derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address