J•••••• L• N•••

• R•• C•••••• M••••••• L•• national BD current
  since Oct 21, 2013 · Boca Raton, Fl
• R•••••• J•••• • A••••••••• I••• national BD
  Feb 13, 2013 to Oct 24, 2013 · Coral Springs, Fl
• M••••• K••••• • C••••••• L•• former
  Feb 20, 2007 to Feb 13, 2013 · Ft. Lauderdale, Fl
• J••••• M••••••••• S•••• L•• BD affiliated
  Oct 6, 2006 to Mar 12, 2007 · Ft. Lauderdale, Fl

• R•••••• J•••• • A••••••••• I••• to R•• C•••••• M••••••• L••
  left Oct 24, 2013, registered Oct 21, 2013 (-3 days) · Affiliated broker-dealer or bank to another
• M••••• K••••• • C••••••• L•• to R•••••• J•••• • A••••••••• I•••
  left Feb 13, 2013, registered Feb 13, 2013 (0 days) · corporate re-registration, not a move
• J••••• M••••••••• S•••• L•• to M••••• K••••• • C••••••• L••
  left Mar 12, 2007, registered Feb 20, 2007 (-20 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

31derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address