P•••• M•••••• S•••••••

• R•••••• J•••• • A••••••••• I••• national BD current
  since Sep 30, 2015 · Mandeville, La
• J••• M••••• S••••••••• L•• wirehouse
  Oct 1, 2012 to Sep 24, 2015 · Harahan, La
• C•••• I••••••••• S••••••• C•••• former
  Jul 24, 2009 to Oct 1, 2012 · Harahan, La
• F•• A•••••••• I••• unclassified
  Jan 26, 2009 to Jul 29, 2009 · New Orleans, La
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse
  Apr 22, 2004 to Jan 27, 2009 · Mandeville, La

• J••• M••••• S••••••••• L•• to R•••••• J•••• • A••••••••• I•••
  left Sep 24, 2015, registered Sep 30, 2015 (6 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
• C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••
  left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
• F•• A•••••••• I••• to C•••• I••••••••• S••••••• C••••
  left Jul 29, 2009, registered Jul 24, 2009 (-5 days) · Other
• M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•• A•••••••• I•••
  left Jan 27, 2009, registered Jan 26, 2009 (-1 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