K••••••• M•••• Z••••••

• J••••• M••••••••• S•••• L•• BD affiliated current
  since Jun 14, 2018 · Yardley, Pa
• S•••••• N••••••• • C••••••• I••••••••• national BD
  Feb 17, 2012 to Jun 21, 2018 · Yardley, Pa
• W•••• F•••• A••••••• wirehouse
  May 7, 2007 to Feb 22, 2012 · Yardley, Pa
• J••••• M••••••••• S•••• L•• BD affiliated
  Mar 31, 2006 to May 25, 2007 · Yardley, Pa

• S•••••• N••••••• • C••••••• I••••••••• to J••••• M••••••••• S•••• L••
  left Jun 21, 2018, registered Jun 14, 2018 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
• W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••
  left Feb 22, 2012, registered Feb 17, 2012 (-5 days) · Wirehouse to affiliated broker-dealer or bank
• J••••• M••••••••• S•••• L•• to W•••• F•••• A•••••••
  left May 25, 2007, registered May 7, 2007 (-18 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