R•••••• C••••••••

• A••••••••• F•••••••• S•••••••• L•• national BD current
  since May 23, 2022 · Ft Lauderdale, Fl
• U•• F•••••••• S••••••• I••• wirehouse
  Nov 21, 2011 to May 31, 2022 · Ft. Lauderdale, Fl
• R•••••• J•••• • A••••••••• I••• national BD
  Apr 21, 2006 to Nov 23, 2011 · Fort Lauderdale, Fl
• J••••• M••••••••• S•••• L•• BD affiliated
  May 27, 2005 to May 10, 2006 · Ft Lauderdale, Fl

• U•• F•••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••
  left May 31, 2022, registered May 23, 2022 (-8 days) · Wirehouse to affiliated broker-dealer or bank
• R•••••• J•••• • A••••••••• I••• to U•• F•••••••• S••••••• I•••
  left Nov 23, 2011, registered Nov 21, 2011 (-2 days) · Affiliated broker-dealer or bank to wirehouse
• J••••• M••••••••• S•••• L•• to R•••••• J•••• • A••••••••• I•••
  left May 10, 2006, registered Apr 21, 2006 (-19 days) · Other

• ••• Locked
  May 31, 2022 · Advisor changed firm · fact

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

30derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address