J••••• G••••• W•••••

• R•••••• J•••• • A••••••••• I••• national BD current
  since Dec 2, 2011 · St. Petersburg, Fl
• M••••• K••••• • C••••••• L•• former
  Dec 15, 2009 to Jun 13, 2011 · Tampa, Fl
• B••• O• A•••••• I••••••••• S•••••••• I••• unclassified
  Jun 11, 2007 to Mar 5, 2009 · Tampa, Fl

• M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••
  left Jun 13, 2011, registered Dec 2, 2011 (172 days) · channel change inside one enterprise, not a move
• B••• O• A•••••• I••••••••• S•••••••• I••• to M••••• K••••• • C••••••• L••
  left Mar 5, 2009, registered Dec 15, 2009 (285 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