D••••• E••••• P••••••••

• L•• F•••••••• L•• BD affiliated current
  since Aug 21, 2024 · Melbourne, Fl
• C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated
  Nov 1, 2019 to Aug 30, 2024 · Melbourne, Fl
• C••••••••• F•••••••• N•••••• national BD
  Jan 5, 2009 to Nov 1, 2019 · Melbourne, Fl
• A••••••••• A•••••• S•••••••• I••• unclassified
  Mar 10, 2004 to Nov 25, 2008 · Orlando, Fl

• C•••••••• I••••••••• R••••••• A•••••••• I••• to L•• F•••••••• L••
  left Aug 30, 2024, registered Aug 21, 2024 (-9 days) · Affiliated broker-dealer or bank to another
• C••••••••• F•••••••• N•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••
  left Nov 1, 2019, registered Nov 1, 2019 (0 days) · Affiliated broker-dealer or bank to another
• A••••••••• A•••••• S•••••••• I••• to C••••••••• F•••••••• N••••••
  left Nov 25, 2008, registered Jan 5, 2009 (41 days) · Other

• ••• Locked
  Aug 30, 2024 · a•••••• firm change · 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

Broker-dealer affiliated wealth managerderived

Years in industry

31derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address