S••• M••••• G•••••

• C•••••• S••••• • C••• I••• national BD current
  since Jan 9, 2022 · Lone Tree, Co
• A••••• A•• P••••••• S••••••• BD affiliated
  Dec 22, 2020 to Nov 24, 2021 · Denver, Co
• F••••••• P••••••• A•• W•••••••• A••••••• former
  Jul 13, 2018 to Apr 14, 2020 · Boston, Ma
• S•••••••• A••••••• L•• national BD
  Oct 16, 2013 to Jul 13, 2018 · Greenwood Village, Co
• A••••• A•• P••••••• S••••••• BD affiliated
  Mar 11, 2005 to Sep 16, 2013 · Glendale, Co
• T•••••••• T•••• C••••••• F•• unclassified
  Mar 10, 2005 to Mar 24, 2005 · St. Louis, Mo

• A••••• A•• P••••••• S••••••• to C•••••• S••••• • C••• I•••
  left Nov 24, 2021, registered Jan 9, 2022 (46 days) · Affiliated broker-dealer or bank to another · moved with a team
• F••••••• P••••••• A•• W•••••••• A••••••• to A••••• A•• P••••••• S•••••••
  left Apr 14, 2020, registered Dec 22, 2020 (252 days) · Affiliated broker-dealer or bank to another
• S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••
  left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
• A••••• A•• P••••••• S••••••• to S•••••••• A••••••• L••
  left Sep 16, 2013, registered Oct 16, 2013 (30 days) · Other
• T•••••••• T•••• C••••••• F•• to A••••• A•• P••••••• S•••••••
  left Mar 24, 2005, registered Mar 11, 2005 (-13 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

26derivedfrom the earliest dated exam, employment or registration

Not published

disclosure flags, outside business text, branch street address