RIA Intelligence

• L•• F•••••••• L•• BD affiliated current
  since May 21, 2020 · Boca Raton, Fl
• F•• S••••••••• C••••••••• former
  Oct 9, 2015 to May 22, 2020 · Boca Raton, Fl
• E••••• J•••• national BD
  Jul 23, 2014 to Sep 17, 2014 · Boca Raton, Fl
• F•• S••••••••• C••••••••• former
  Jan 28, 2014 to Jul 17, 2014 · Boca Raton, Fl
• S•••••••• A••••••• L•• national BD
  Oct 12, 2011 to Jan 6, 2014 · Boca Raton, Fl

• F•• S••••••••• C••••••••• to L•• F•••••••• L••
  left May 22, 2020, registered May 21, 2020 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
• E••••• J•••• to F•• S••••••••• C•••••••••
  left Sep 17, 2014, registered Oct 9, 2015 (387 days) · Other
• F•• S••••••••• C••••••••• to E••••• J••••
  left Jul 17, 2014, registered Jul 23, 2014 (6 days) · Other
• S•••••••• A••••••• L•• to F•• S••••••••• C•••••••••
  left Jan 6, 2014, registered Jan 28, 2014 (22 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

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