J•••••• S•••••

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since Nov 25, 2019 · Boca Raton, Fl
• R•••••• J•••• • A••••••••• I••• national BD
  Sep 9, 2019 to Oct 24, 2019 · Boca Raton, Fl
• M••••• S•••••• wirehouse
  Jun 1, 2009 to Sep 10, 2019 · Ft. Lauderdale, Fl
• M••••• S•••••• • C•• L•• unclassified
  Apr 24, 2009 to Jun 1, 2009 · Ft. Lauderdale, Fl
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Oct 12, 1993 to Apr 20, 2009 · Fort Lauderdale, Fl

• R•••••• J•••• • A••••••••• I••• to A••••••••• F•••••••• S•••••••• L••
  left Oct 24, 2019, registered Nov 25, 2019 (32 days) · Affiliated broker-dealer or bank to another
• M••••• S•••••• to R•••••• J•••• • A••••••••• I•••
  left Sep 10, 2019, registered Sep 9, 2019 (-1 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• M••••• S•••••• • C•• L•• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••
  left Apr 20, 2009, registered Apr 24, 2009 (4 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

National broker-dealer RIAderived

Years in industry

32derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address