D••••• L•••• D••••••

• M•• I•••••••• S•••••••• L•• BD affiliated current
  since Feb 7, 2012 · Houston, Tx
• O•••• F•• I••• former
  Jan 21, 2009 to Dec 31, 2011 · Houston, Tx
• F••••• I••••••••• independent RIA
  Aug 7, 2008 to Nov 25, 2008 · Houston, Tx
• S•••••••• A••••••• L•• national BD
  Jan 18, 2006 to Jul 28, 2008 · Houston, Tx

• O•••• F•• I••• to M•• I•••••••• S•••••••• L••
  left Dec 31, 2011, registered Feb 7, 2012 (38 days) · Other
• F••••• I••••••••• to O•••• F•• I•••
  left Nov 25, 2008, registered Jan 21, 2009 (57 days) · Other
• S•••••••• A••••••• L•• to F••••• I•••••••••
  left Jul 28, 2008, registered Aug 7, 2008 (10 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