D•••• D••• V•••

• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse current
  since Dec 10, 2020 · Louisville, Ky
• P•• W••••• M••••••••• BD affiliated
  Nov 13, 2009 to Dec 17, 2020 · Louisville, Ky
• N•••••• I••••••••• I••• unclassified
  Sep 19, 2006 to Nov 13, 2009 · Louisville, Ky
• P••••••••• E••••• G••••• L•• unclassified
  Jun 26, 2001 to Jun 2, 2003 · Indianapolis, In

• P•• W••••• M••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••
  left Dec 17, 2020, registered Dec 10, 2020 (-7 days) · Affiliated broker-dealer or bank to wirehouse
• N•••••• I••••••••• I••• to P•• W••••• M•••••••••
  left Nov 13, 2009, registered Nov 13, 2009 (0 days) · corporate re-registration, not a move
• P••••••••• E••••• G••••• L•• to N•••••• I••••••••• I•••
  left Jun 2, 2003, registered Sep 19, 2006 (1205 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