R•••• R••••• M••••

• A••••••• W••••• A••••••• BD affiliated current
  since Oct 11, 2021 · Angleton, Tx
• S•••••••• F••••••••• I••• former
  Apr 8, 2015 to Oct 20, 2021 · Angleton, Tx
• S••••••••• A•••••• A•••••••• I••• former
  Oct 1, 2013 to Dec 11, 2013 · Angleton, Tx
• C••••••••• F•••••••• N•••••• national BD
  Feb 17, 2009 to Oct 28, 2013 · Angleton, Tx
• L•• F•••••••• L•• BD affiliated
  Jun 26, 2002 to Feb 23, 2009 · Galveston, Tx

• S•••••••• F••••••••• I••• to A••••••• W••••• A•••••••
  left Oct 20, 2021, registered Oct 11, 2021 (-9 days) · Affiliated broker-dealer or bank to another · moved with a team
• S••••••••• A•••••• A•••••••• I••• to S•••••••• F••••••••• I•••
  left Dec 11, 2013, registered Apr 8, 2015 (483 days) · Other
• C••••••••• F•••••••• N•••••• to S••••••••• A•••••• A•••••••• I•••
  left Oct 28, 2013, registered Oct 1, 2013 (-27 days) · Other
• L•• F•••••••• L•• to C••••••••• F•••••••• N••••••
  left Feb 23, 2009, registered Feb 17, 2009 (-6 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