A•••••• P••••• K•••••

• R•••••• J•••• • A••••••••• I••• national BD current
  since Feb 25, 2011 · Jacksonville, Fl
• M••••• S•••••• wirehouse
  Jun 1, 2009 to Mar 18, 2011 · Jacksonville, Fl
• C•••••••• G••••• M•••••• I••• BD affiliated
  Jan 23, 2003 to Jun 1, 2009 · Jacksonville, Fl
• L••• M•••• W••• W•••••• I••••••••• unclassified
  Feb 8, 1995 to Jan 27, 2003 · Ponte Vedra, Fl

• M••••• S•••••• to R•••••• J•••• • A••••••••• I•••
  left Mar 18, 2011, registered Feb 25, 2011 (-21 days) · Wirehouse to affiliated broker-dealer or bank
• C•••••••• G••••• M•••••• I••• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
• L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••
  left Jan 27, 2003, registered Jan 23, 2003 (-4 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