S••••• D••••• L•••••••

• O•••• W•••••• I••• BD affiliated current
  since Jan 19, 2024 · Mckinney, Tx
• W••••••• F•••••••• S•••••••• I••• former
  May 1, 2014 to Jan 19, 2024 · Allen, Tx
• L•• F•••••••• L•• BD affiliated
  Apr 8, 2004 to May 2, 2014 · Allen, Tx
• E•••••••• A•••••••• L•• national BD
  Oct 20, 1993 to Apr 13, 2004 · Dallas, Tx

• W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••
  left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
• L•• F•••••••• L•• to W••••••• F•••••••• S•••••••• I•••
  left May 2, 2014, registered May 1, 2014 (-1 days) · Other
• E•••••••• A•••••••• L•• to L•• F•••••••• L••
  left Apr 13, 2004, registered Apr 8, 2004 (-5 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

32derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address