K•••• B••••• H••••••

• L•• F•••••••• L•• BD affiliated current
  since Sep 17, 2019 · Hickory, Nc
• S•••••••• F••••••••• I••• former
  Sep 21, 2018 to Sep 19, 2019 · Granite Falls, Nc
• T••••• A••••••• S•••••••• I••• BD affiliated
  Oct 19, 2016 to Sep 24, 2018 · Hickory, Nc
• S••••••• I••••••••• S•••••••• I••• former
  Oct 17, 2016 to Dec 31, 2016 · Hickory, Nc

• S•••••••• F••••••••• I••• to L•• F•••••••• L••
  left Sep 19, 2019, registered Sep 17, 2019 (-2 days) · Affiliated broker-dealer or bank to another · moved with a team
• T••••• A••••••• S•••••••• I••• to S•••••••• F••••••••• I•••
  left Sep 24, 2018, registered Sep 21, 2018 (-3 days) · Affiliated broker-dealer or bank to another
• S••••••• I••••••••• S•••••••• I••• to T••••• A••••••• S•••••••• I•••
  left Dec 31, 2016, registered Oct 19, 2016 (-73 days) · corporate re-registration, not a move

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