V•••• K• S•••••

• T••••••••• F•••••••• A•••••••• L•• BD affiliated current
  since Sep 21, 2017 · Cincinnati, Oh
• E•••• S••••••••• L•• BD affiliated
  Dec 3, 2014 to Jun 13, 2016 · Cincinnati, Oh
• P••• A••••• S••••••••• L•• BD affiliated
  Mar 21, 2012 to Jun 19, 2014 · Cincinnati, Oh
• M•• I•••••••• S•••••••• L•• BD affiliated
  Nov 14, 2006 to Dec 9, 2011 · Cleveland, Oh
• S•• BD affiliated
  Jan 2, 2004 to Nov 1, 2006 · Maineville, Oh

• E•••• S••••••••• L•• to T••••••••• F•••••••• A•••••••• L••
  left Jun 13, 2016, registered Sep 21, 2017 (465 days) · Other
• P••• A••••• S••••••••• L•• to E•••• S••••••••• L••
  left Jun 19, 2014, registered Dec 3, 2014 (167 days) · Other
• M•• I•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••
  left Dec 9, 2011, registered Mar 21, 2012 (103 days) · Other
• S•• to M•• I•••••••• S•••••••• L••
  left Nov 1, 2006, registered Nov 14, 2006 (13 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