R•••••• E••••• F••••••

• P••••••• F•••••••• S•••••••• I••• BD affiliated current
  since Nov 7, 2014 · Dallas, Tx
• W•••• F•••• A••••••• wirehouse
  Feb 28, 2014 to Nov 13, 2014 · Southlake, Tx
• M••••• S•••••• wirehouse
  Jun 1, 2009 to Mar 10, 2014 · Southlake, Tx
• M••••• S•••••• • C•• L•• unclassified
  Jul 27, 2007 to Jun 1, 2009 · Southlake, Tx
• U•• F•••••••• S••••••• I••• wirehouse
  Aug 14, 2000 to Aug 8, 2007 · Grapevine, Tx

• W•••• F•••• A••••••• to P••••••• F•••••••• S•••••••• I•••
  left Nov 13, 2014, registered Nov 7, 2014 (-6 days) · Other
• M••••• S•••••• to W•••• F•••• A•••••••
  left Mar 10, 2014, registered Feb 28, 2014 (-10 days) · Wirehouse to wirehouse
• M••••• S•••••• • C•• L•• to M••••• S••••••
  left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
• U•• F•••••••• S••••••• I••• to M••••• S•••••• • C•• L••
  left Aug 8, 2007, registered Jul 27, 2007 (-12 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