M•••••• D•••• M•••••••

• C••••• I••••••••• A••••••• L•• BD affiliated current
  since Jun 29, 2023 · Plano, Tx
• S••••• F•••••••• G•••• I•• former
  Sep 1, 2016 to May 20, 2021 · Plano, Tx
• V•• A••••••• S••••••• former
  Feb 7, 2003 to Sep 1, 2016 · Dallas, Tx
• T•• M••••••• I••• unclassified
  Jun 8, 1999 to Feb 7, 2003 · Plano, Tx

• S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••
  left May 20, 2021, registered Jun 29, 2023 (770 days) · corporate re-registration, not a move
• V•• A••••••• S••••••• to S••••• F•••••••• G•••• I••
  left Sep 1, 2016, registered Sep 1, 2016 (0 days) · corporate re-registration, not a move
• T•• M••••••• I••• to V•• A••••••• S•••••••
  left Feb 7, 2003, registered Feb 7, 2003 (0 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